Filing Details
- Accession Number:
- 0001209191-11-051129
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-10-07 11:03:33
- Reporting Period:
- 2011-10-05
- Filing Date:
- 2011-10-07
- Accepted Time:
- 2011-10-07 11:03:33
- 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 |
---|---|---|---|---|---|---|---|
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 | 2011-10-05 | 605 | $1.10 | 8,227 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2011-10-05 | 4,395 | $1.99 | 12,622 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-10-05 | 605 | $6.53 | 12,017 | No | 4 | S | Direct | |
Common Stock | Disposition | 2011-10-05 | 4,395 | $6.53 | 7,622 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | 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 | 2011-10-05 | 605 | $0.00 | 605 | $1.10 |
Common Stock | Stock Option (Right to Buy) | Disposition | 2011-10-05 | 4,395 | $0.00 | 4,395 | $1.99 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Direct | ||
7,565 | No | 4 | M | Direct |
Footnotes
- Reflects shares acquired upon exercise of stock options listed in Table II below pursuant to a sales plan dated June 3, 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 June 3, 2011 sales plan.
- Includes 6000 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 6000 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.
- Such stock options were granted on June 15, 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 options have a term of ten years.