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Filing Details

Accession Number:: 0001444363-15-000002
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-01-07 17:25:12
Reporting Period:: 2015-01-05

Filing Date:: 2015-01-07
Accepted Time:: 2015-01-07 17:25:12
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
1506226	Samantha Roady	C/O Gain Capital Holdings, Inc. 135 U.s. Rt. 202/206, Suite 11 Bedminster NJ 07921	Chief Commercial Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2015-01-05	45,226	$0.00	207,869	No	4	M	Direct
Common Stock	Acquisiton	2015-01-05	45,226	$0.00	253,095	No	4	M	Direct
Common Stock	Acquisiton	2015-01-05	22,613	$0.00	275,708	No	4	M	Direct
Common Stock	Acquisiton	2015-01-05	18,091	$0.00	293,799	No	4	M	Direct
Common Stock	Disposition	2015-01-05	26,001	$9.13	267,798	No	4	S	Direct
Common Stock	Disposition	2015-01-06	16,025	$8.94	251,773	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Unit	Disposition	2015-01-05	45,226	$0.00	45,226	$0.00
Common Stock	Restricted Stock Unit	Disposition	2015-01-05	45,226	$0.00	45,226	$0.00
Common Stock	Restricted Stock Unit	Disposition	2015-01-05	22,613	$0.00	22,613	$0.00
Common Stock	Restricted Stock Unit	Disposition	2015-01-05	18,091	$0.00	18,091	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct
No	4	M	Direct

Footnotes

Reflects deferred shares delivered pursuant to restricted stock units listed in Table II below.
The shares were sold to satisfy tax withholding obligations relating to the delivery of deferred shares pursuant to restricted stock units listed in Table II below. The sales were made pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.00 to $9.29, 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.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.81 to $9.18, 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.
Such restricted stock units were granted on December 31, 2006 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
Such restricted stock units were granted on June 30, 2007 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
Such restricted stock units were granted on April 15, 2008 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
Such restricted stock units were granted on December 15, 2009 and vested ratably over four years, with one-fourth of the restricted stock units vesting on April 15th of each of the four years following the grant, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.