SEC Form 4 · accession 0001179110-15-009305
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Alan E Salzman
10% Owner
VANTAGEPOINT VENTURE PARTNERS IV LP
10% Owner
VP NEW YORK VENTURE PARTNERS LP
10% Owner
VantagePoint Management, Inc.
10% Owner
Period of report
Mar 5, 2014
Accepted (ET)
Jun 8, 2015 · 3:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001444363
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Mar 5, 2014 | A | 7,537 | $0.00 | A | 48,086 | I | Thomas A. Bevilacqua |
| Common StockF4,F5,F3 | May 26, 2015 | A | 8,937 | $0.00 | A | 57,023 | I | Thomas A. Bevilacqua |
| Common StockF6,F10 | holding | — | — | — | 6,576,911 | D | ||
| Common StockF7,F10 | holding | — | — | — | 658,417 | D | ||
| Common StockF8,F10 | holding | — | — | — | 23,956 | D | ||
| Common StockF9,F10 | holding | — | — | — | 1,814,824 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units that vest monthly over one year, beginning on the day immediately following the Company's 2014 Annual Meeting of Stockholders. Although the grant has previously been disclosed in the Company's reports with the SEC, it has not been reported on a Form 4 by the reporting person.
- F10The General Partner is VantagePoint Venture Associates IV, L.L.C. Alan E. Salzman is a managing member of the General Partner and may be deemed to have voting and investment power with respect to the shares or warrants held by these entities. Mr. Salzman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group.
- F2Includes 17,046 shares that were issued upon the settlement of restricted stock units that vested monthly over one year, beginning on the day immediately after the Company's 2013 Annual Meeting of Stockholders.
- F3VantagePoint Management, Inc. has the voting and investment control over these shares. Only VantagePoint Management, Inc. and Alan E. Salzman, its Chief Executive Officer, are acquiring beneficial ownership of these shares.
- F4Restricted stock units that vest monthly over one year, beginning on the day immediately following the Company's 2015 Annual Meeting of Stockholders. This Form 4 is being submitted after the two business day filing deadline following the transaction date.
- F5Includes 7,537 restricted stock units, which vest monthly over one year, beginning on June 26, 2014, the day immediately after the Company's 2014 Annual Meeting of Stockholders. As of the date of this report, 6,908 shares are vested and 629 are unvested.
- F6By: VantagePoint Venture Partners IV (Q), L.P.
- F7By: VantagePoint Venture Partners IV, L.P.
- F8By: VantagePoint Venture Partners IV Principals Fund, L.P.
- F9By: VP New York Venture Partners L.P.