Filing Details

Accession Number:
0001209191-12-002332
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-01-05 18:35:38
Reporting Period:
2012-01-03
Filing Date:
2012-01-05
Accepted Time:
2012-01-05 18:35:38
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
1506225 William Kenneth O'brien C/O Gain Capital Holdings, Inc.
135 U.s. Highway 202/206
Bedminster NJ 07921
Sr Vp, Int'l Operations No Yes 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 2012-01-03 1,697 $3.83 9,319 No 4 M Direct
Common Stock Disposition 2012-01-03 1,697 $6.81 7,622 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2012-01-03 1,697 $0.00 1,697 $3.83
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
25,441 No 4 M Direct
Footnotes
  1. Reflects shares acquired upon exercise of stock options listed in Table II below pursuant to a sales plan dated June 3, 2011, which complies with the requirements of Rule 10b5-1(c)(1) under the Securities and Exchange Act of 1934, as amended.
  2. The shares were sold pursuant to the June 3, 2011 sales plan.
  3. Includes 6000 shares acquired through a restricted stock award on March 23, 2011. Such shares ratably vest 25% per year on each of the first four anniversaries of the grant date. As of the date of this report, 0 shares are vested and 6000 remain unvested.
  4. Includes 1,622 shares acquired on July 1, 2011 through an employee stock purchase plan.
  5. Such stock options were granted on July 28, 2010 and vest ratably over four years, with one-quarter of the options vesting on each of the first four anniversaries of the grant date. The options have a term of ten years. As of the date of this report, 0 are vested and 25,441 are unvested.