Filing Details

Accession Number:
0001444363-14-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-06 16:52:43
Reporting Period:
2014-01-02
Filing Date:
2014-01-06
Accepted Time:
2014-01-06 16:52:43
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.
Bedminster One, 135 Us Hwy. 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 2014-01-02 6,830 $2.87 16,773 No 4 M Direct
Common Stock Disposition 2014-01-02 8,250 $7.47 8,523 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 2014-01-02 6,830 $2.87 6,830 $2.87
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
31,305 No 4 M Direct
Footnotes
  1. 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(c)(1) under the Securities Exchange Act of 1934, as amended.
  2. The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1(c)(1) under the Securities Exchange Act of 1934, as amended.
  3. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.39 to $7.58, 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.
  4. Such stock options were granted on January 31, 2006 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.