Filing Details
- Accession Number:
- 0001209191-11-004525
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-21 19:35:50
- Reporting Period:
- 2011-01-19
- Filing Date:
- 2011-01-21
- Accepted Time:
- 2011-01-21 19:35:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1472334 | Timothy O'sullivan | C/O Gain Capital Holdings, Inc. Bedminster NJ 07921 | Chief Dealer | 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 | 2011-01-19 | 4,667 | $1.55 | 4,667 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-01-19 | 4,667 | $8.37 | 0 | 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 | 2011-01-19 | 4,667 | $0.00 | 4,667 | $1.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,870 | No | 4 | M | Direct |
Footnotes
- Such stock options were granted on January 31, 2005 and vest 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.
Billionaire Hedge Funds
