Filing Details

Accession Number:
0001444363-13-000009
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-06-18 16:43:16
Reporting Period:
2013-06-14
Filing Date:
2013-06-18
Accepted Time:
2013-06-18 16:43:16
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
1472455 E Mark Galant 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 Disposition 2013-06-14 25,000 $5.82 270,535 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,131,406 Direct
Footnotes
  1. These shares are held indirectly by the 2007 Galant Family Trust, by and among Mark E. Galant, as donor, and the Goldman Sachs Trust Company of Delaware and Farid Naib, as trustees.
  2. Includes (i) 14,151 restricted stock units, which vest monthly over one year, beginning on June 16, 2012, the day immediately after the Company's 2012 Annual Meeting of Stockholders, and (ii) 17,046 restricted stock units, which vest monthly over one year, beginning on June 14, 2013, the day immediately after the Company's 2013 Annual Meeting of Stockholders. As of the date of this report, 14,151 shares are vested and 17,046 are unvested.