Home > Insider Trading > Filing (0001209191-11-047017)

Filing Details

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
1506225	William Kenneth O'brien	C/O Gain Capital Holdings, Inc. 135 U.s. Highway 202/206 Bedminster NJ 07921	Sr Vp, Int'l Operations	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	2011-09-02	515	$1.11	8,137	No	4	M	Direct
Common Stock	Disposition	2011-09-02	515	$5.50	7,622	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	2011-09-02	515	$0.00	515	$1.11

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
5,590			No	4	M	Direct

Footnotes

Reflects shares acquired upon exercise of stock options listed in Table II below 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 of 1934, as amended.
The shares were sold pursuant to the May 31, 2011 sales plan.
Includes 6,000 shares acquired through a restricted stock award on March 23, 2011. Such shares ratably vest 25% per year on each of the first four anniversaries of the grant date. As of the date of this report, 0 shares are vested and 6,000 remain unvested.
Includes 1,622 shares acquired on July 1, 2011 through an employee stock purchase plan.
Such stock options were granted on December 21, 2004 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.