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Filing Details

Accession Number:: 0001181431-13-004179
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-01-22 16:38:32
Reporting Period:: 2013-01-17

Filing Date:: 2013-01-22
Accepted Time:: 2013-01-22 16:38:32
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1444363	Gain Capital Holdings Inc.	GCAP	Commodity Contracts Brokers & Dealers (6221)	204568600

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1472938	Henry Glenn Stevens	C/O Gain Capital Holdings, Inc. 135 U.s. Rt. 202/206, Suite 11 Bedminster NJ 07921	President, Ceo And Director	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2013-01-17	8,919	$4.18	793,856	No	4	S	Direct
Common Stock	Disposition	2013-01-18	4,348	$4.06	789,508	No	4	S	Direct
Common Stock	Acquisiton	2013-01-22	563	$2.43	790,071	No	4	M	Direct
Common Stock	Disposition	2013-01-22	8,082	$4.13	781,989	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2013-01-22	563	$0.00	563	$2.43

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
81,252			No	4	M	Direct

Footnotes

The shares were sold pursuant to a sales plan dated June 14, 2011, which complies with the requirements of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $4.23, inclusive. The reporting person undertakes to provide to Gain Capital Holdings, Inc., any security holder of Gain Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Includes 43,000 shares acquired through a restricted stock award on March 23, 2011 and 95,000 shares acquired through a restricted stock unit grant on March 1, 2012. Such shares vest 25% per year on each of the first four anniversaries of the grant date. As of the date of this report, of such restricted stock awards and restricted stock units, 10,750 shares are vested and 127,250 remain unvested.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.02 to $4.09, inclusive. The reporting person undertakes to provide to Gain Capital Holdings, Inc., any security holder of Gain Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.04 to $4.17, inclusive. The reporting person undertakes to provide to Gain Capital Holdings, Inc., any security holder of Gain Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Such stock options were granted on December 30, 2005 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. The stock options have a term of ten years. As of the date of this report, 81,252 options remain outstanding.