Filing Details

Accession Number:
0001181431-13-018933
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-26 21:16:58
Reporting Period:
2013-03-22
Filing Date:
2013-03-26
Accepted Time:
2013-03-26 21:16:58
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
1506224 Daryl Carlough C/O Gain Capital Holdings, Inc.
135 U.s. Rt. 202/206, Suite 11
Bedminster NJ 07921
Interim Cfo & Treasurer 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 13,000 $0.00 35,210 No 4 A Direct
Common Stock Disposition 2013-03-26 445 $4.51 34,765 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 11,000 $0.00 11,000 $4.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
11,000 2020-03-22 No 4 A Direct
Footnotes
  1. Restricted stock unit, which vests at a rate of 25% annually over four years commencing on the first anniversary of the date of grant.
  2. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.51 to $4.52, 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.
  3. Includes 7,026 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 3,605 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, 2,381 shares are vested and 8,250 shares are unvested.
  4. 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.
  5. 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.