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Filing Details

Accession Number:
0001181431-12-027641
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-05-03 18:46:11
Reporting Period:
2012-03-01
Filing Date:
2012-05-03
Filing Date Changed:
2012-05-03
Accepted Time:
2012-05-03 19:46:11
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 2012-05-01 5,400 $2.43 28,903 No 4 M Direct
Common Stock Disposition 2012-05-01 5,400 $5.08 23,503 No 4 S Direct
Common Stock Acquisiton 2012-05-02 4,898 $2.43 28,401 No 4 M Direct
Common Stock Disposition 2012-05-02 4,898 $5.05 23,503 No 4 S Direct
Common Stock Acquisiton 2012-05-03 3,076 $2.43 26,578 No 4 M Direct
Common Stock Disposition 2012-05-03 3,076 $5.06 23,503 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
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 2012-05-01 5,400 $0.00 5,400 $2.43
Common Stock Stock Option (Right to Buy) Disposition 2012-05-02 4,898 $0.00 4,898 $2.43
Common Stock Stock Option (Right to Buy) Disposition 2012-05-03 3,076 $0.00 3,076 $2.43
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
27,096 No 4 M Direct
22,198 No 4 M Direct
19,122 No 4 M Direct
Footnotes
  1. 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.
  2. Includes 14,151 shares acquired through a restricted stock unit grant on March 1, 2012, which shares vest on a monthly basis beginning on the first day following Company's 2012 annual meeting of shareholders, and 9,352 shares acquired through a restricted stock award on March 23, 2011, which 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, of such restricted stock units and restricted stock awards, 7,794 shares are vested and 15,709 shares are unvested.
  3. 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.
  4. Such stock options were granted on December 30, 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 term of ten years. As of the date of this report, 19,122 are vested and 0 are unvested.
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