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Filing Details

Accession Number:: 0001444363-15-000117
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-07-02 10:52:18
Reporting Period:: 2015-06-29

Filing Date:: 2015-07-02
Accepted Time:: 2015-07-02 10:52:18
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	135 Us Hwy. 202/206 Bedmnister NJ 07921	President, Ceo & Director	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2015-06-29	20,000	$2.43	1,209,883	No	4	M	Direct
Common Stock	Acquisiton	2015-06-30	20,000	$2.43	1,229,883	No	4	M	Direct
Common Stock	Acquisiton	2015-07-01	10,002	$2.43	1,239,885	No	4	M	Direct
Common Stock	Disposition	2015-06-29	29,998	$9.69	1,209,887	No	4	S	Direct
Common Stock	Disposition	2015-06-30	20,000	$9.54	1,189,887	No	4	S	Direct
Common Stock	Disposition	2015-07-01	10,002	$9.56	1,179,885	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (Right to Buy)	Disposition	2015-06-29	20,000	$2.43	20,000	$2.43
Common Stock	Stock Option (Right to Buy)	Disposition	2015-06-30	20,000	$2.43	20,000	$2.43
Common Stock	Stock Option (Right to Buy)	Disposition	2015-07-01	10,002	$2.43	10,002	$2.43

Remaning Holdings	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
30,002	No	4	M	Direct
10,002	No	4	M	Direct
0	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 and Exchange Act.
The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 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 $9.53 to $10.05, 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.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.49 to $9.70, 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.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.4988 to $9.65, 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.