Filing Details

Accession Number:
0001209191-10-062299
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-12-22 18:35:21
Reporting Period:
2010-12-20
Filing Date:
2010-12-22
Accepted Time:
2010-12-22 18:35:21
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
1472449 Chris Sugden C/O Gain Capital Holdings, Inc.
Bedminster NJ 07921
Yes No 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 2010-12-20 3,864,019 $0.00 3,864,019 No 4 C Direct
Common Stock Disposition 2010-12-20 1,042,951 $9.00 2,821,068 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Preferred Stock Disposition 2010-12-20 1,708,755 $0.00 3,864,019 $0.00
Common Stock Warrants Disposition 2010-12-20 1,145,208 $0.00 2,589,666 $1.11
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
2,589,666 2001-07-25 2011-07-25 No 4 C Direct
Footnotes
  1. Each share of Series B Preferred Stock automatically converted into common stock, and reflects the stock split, certain indemnification obligations triggered by the adjustment to the Series E Preferred Stock conversion price, and all other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of Issuer's initial public offering of common stock.
  2. Mr. Sugden, one of the Issuer's directors, is a member of Edison Partners IV SBIC, LLC, the general partner of Edison Venture Fund IV SBIC, L.P. Mr. Sugden disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Voting and dispositive authority of the shares held by Edison Venture Fund IV SBIC, L.P. are shared by John Martinson, Joseph Allegra, Gary Golding, Ross Martinson and Christopher Sugden, each a member of Edison Partners IV SBIC, LLC.
  3. Each share of Series B Preferred Stock issuable upon exercise of the warrant automatically converted into shares of common stock issuable upon exercise of the warrant, and reflects the stock split, certain indemnification obligations triggered by the adjustment to the Series E Preferred Stock conversion price, and all other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of Issuer's initial public offering of common stock.