Filing Details
- Accession Number:
- 0001181431-12-005872
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-02-03 18:39:44
- Reporting Period:
- 2012-02-01
- Filing Date:
- 2012-02-03
- Accepted Time:
- 2012-02-03 18:39:44
- 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 | Acquisiton | 2012-02-01 | 7,000 | $1.99 | 16,352 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-02-01 | 7,000 | $6.37 | 9,352 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-02-02 | 3,400 | $1.99 | 12,752 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-02-02 | 3,400 | $6.39 | 9,352 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| 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 | 2012-02-01 | 7,000 | $0.00 | 7,000 | $1.99 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-02-02 | 3,400 | $0.00 | 3,400 | $1.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 6,035 | No | 4 | M | Direct | ||
| 2,635 | No | 4 | M | 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 of 1934, as amended.
- 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, 5,456 shares are vested and 3,896 shares are unvested.
- 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.
- 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. As of the date of this report, 2,635 are vested and 0 are unvested
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