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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2011-10-05 18:31:33
Reporting Period:
Filing Date:
Accepted Time:
2011-10-05 18:31:33
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1444363 Gain Capital Holdings Inc. GCAP Commodity Contracts Brokers & Dealers (6221) 204568600
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 Disposition 2011-10-03 16,000 $5.91 45,890 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
  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.
  2. Includes 9,352 shares acquired through a restricted stock award on March 23, 2011. Such 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 hereof, 2,337 shares are vested and 7,015 shares are unvested.