Home > Insider Trading > Filing (0001444363-13-000032)

Filing Details

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
1506226	Samantha Roady	C/O Gain Capital Holdings, Inc. 135 U.s. Rt. 202/206, Suite 11 Bedminster NJ 07921	Chief Marketing Officer	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	2013-08-08	15,000	$2.43	114,080	No	4	M	Direct
Common Stock	Disposition	2013-08-08	15,000	$7.00	99,080	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	2013-08-08	15,000	$2.43	15,000	$2.43

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
85,565			No	4	M	Direct

Footnotes

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.
Includes (i) 35,000 shares acquired through a restricted stock unit grant on March 22, 2013, (ii) 27,000 shares acquired through a restricted stock unit grant on March 1, 2012 and (iii) 9,944 shares acquired through a restricted stock award on March 23, 2011. All such awards vest at a rate of 25% annually over four years commencing on the first anniversary of their respective grant dates. As of the date of this report, 10,694 shares are vested and 61,250 shares are unvested.
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 options have a term of ten years.