Filing Details
- Accession Number:
- 0001444363-17-000042
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-04-05 18:23:40
- Reporting Period:
- 2017-04-04
- Filing Date:
- 2017-04-05
- Accepted Time:
- 2017-04-05 18:23:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1506226 | Samantha Roady | C/O Gain Capital Holdings, Inc. 135 U.s. Rt. 202/206, Suite 11 Bedminster NJ 07921 | President - Retail | 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 | 2017-04-04 | 30,750 | $4.40 | 304,738 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-04-04 | 30,750 | $8.52 | 273,988 | 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 | 2017-04-04 | 30,750 | $0.00 | 30,750 | $4.40 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-03-22 | 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 price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.50 to $8.58, 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 vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.
Billionaire Hedge Funds
