Filing Details
- Accession Number:
- 0001209191-11-046807
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-06 18:21:31
- Reporting Period:
- 2011-09-01
- Filing Date:
- 2011-09-06
- Accepted Time:
- 2011-09-06 18:21:31
- 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. 135 Us Highway 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 | Disposition | 2011-09-01 | 5,837 | $5.69 | 72,053 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2011-09-02 | 10,163 | $5.37 | 61,890 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- The shares were sold pursuant to a sales plan dated May 31, 2011, which complies with the requirements of Rule 10b5-1(c)(1) under the Securities and Exchange Act.
- Includes 9,352 shares acquired through a restricted stock award on March 23, 2011. Such shares vest on a monthly basis beginning on the first day following the Company's 2011 annual meeting of shareholders, or June 16, 2011. As of the date of this report, 1,558 shares are vested and 7,794 are unvested.
Billionaire Hedge Funds
