Filing Details
- Accession Number:
- 0001444363-14-000091
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-06-04 16:43:40
- Reporting Period:
- 2014-06-02
- Filing Date:
- 2014-06-04
- Accepted Time:
- 2014-06-04 16:43:40
- 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 |
---|---|---|---|---|---|---|---|
1506926 | Warren Christopher Calhoun | C/O Gain Capital Holdings, Inc. Bedminster One, 135 Us Hwy. 202/206 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 | 2014-06-02 | 5,408 | $2.87 | 8,250 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-06-02 | 6,828 | $7.63 | 1,422 | 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 | Option to Purchase (Right to Buy) | Disposition | 2014-06-02 | 5,408 | $2.87 | 5,408 | $2.87 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,421 | No | 4 | M | Direct |
Footnotes
- Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities and Exchange Act.
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.58 to $7.83, 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 January 31, 2006 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.