Filing Details

Accession Number:
0001444363-18-000130
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-07-31 16:50:08
Reporting Period:
2018-07-27
Accepted Time:
2018-07-31 16:50:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1444363 Gain Capital Holdings Inc. GCAP () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1204485 Alex Goor 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 2018-07-27 17,434 $7.50 85,980 No 4 P Direct
Common Stock Acquisiton 2018-07-30 15,000 $7.14 100,980 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Footnotes
  1. The shares were purchased pursuant to a plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Includes 2,434 shares purchased for custodial accounts for the reporting person's minor children.
  2. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.48 to $7.50, 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.
  3. The shares were purchased pursuant to a plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
  4. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.05 to $7.16, 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.