Filing Details
- Accession Number:
- 0001181431-13-022569
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-04-17 19:50:22
- Reporting Period:
- 2013-04-15
- Filing Date:
- 2013-04-17
- Accepted Time:
- 2013-04-17 19:50:22
- 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. Hwy. 202/206, Suite 11 Bedminster NJ 07921 | President, Ceo And Director | Yes | 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 | 2013-04-15 | 31,250 | $2.43 | 946,239 | No | 4 | M | Direct | |
Common Stock | Disposition | 2013-04-15 | 31,250 | $5.35 | 914,989 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | Disposition | 2013-04-15 | 31,250 | $0.00 | 31,250 | $2.43 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
50,002 | No | 4 | M | Direct |
Footnotes
- Includes 43,000 shares acquired through a restricted stock award on March 23, 2011, 95,000 shares acquired through a restricted stock unit grant on March 1, 2012, and 133,000 shares acquired through a restricted stock unit grant on March 22, 2013. Such shares vest 25% per year on each of the first four anniversaries of their respective grant dates. As of the date of this report, of such restricted stock awards and restricted stock units, 58,250 shares are vested and 212,750 remain unvested.
- 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 $5.18 to $5.46, 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, 50,002 options remain outstanding.