Filing Details
- Accession Number:
- 0001181431-13-018904
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-26 18:47:13
- Reporting Period:
- 2013-03-22
- Filing Date:
- 2013-03-26
- Accepted Time:
- 2013-03-26 18:47:13
- 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 |
---|---|---|---|---|---|---|---|
1511110 | Diego Rotsztain | C/O Gain Capital Holdings, Inc. 135 U.s. Rt. 202/206, Suite 11 Bedminster NJ 07921 | See Remarks | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-03-22 | 47,000 | $0.00 | 99,599 | No | 4 | A | Direct | |
Common Stock | Disposition | 2013-03-26 | 1,650 | $4.52 | 97,949 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Option to Purchase (Right to Buy) | Acquisiton | 2013-03-22 | 39,000 | $0.00 | 39,000 | $4.40 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
39,000 | 2020-03-22 | No | 4 | A | Direct |
Footnotes
- Restricted stock unit, which vests at a rate of 25% annually over four years commencing on the first anniversary of the date of grant.
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.49 to $4.53, 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 31,413 shares acquired through a restricted stock unit grant on March 1, 2012, which vests at a rate of 25% annually over four years commencing on the first anniversary of the date of grant and 19,536 shares acquired through a restricted stock award on March 23, 2011, which vests at a rate of 25% annually over four years commencing on the first anniversary of the date of grant. As of the date of this report, 13,010 shares are vested and 37,939 shares are unvested.
- Such stock options vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.
- The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.