SEC Form 4 · accession 0001179110-16-024210
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
May 5, 2016
Accepted (ET)
May 9, 2016 · 7:59 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 | May 5, 2016 | A | 12,573 | $0.00 | A | 69,596 | I | Thomas A. Bevilacqua |
| Common StockF4,F8 | holding | — | — | — | 6,576,911 | D | ||
| Common StockF5,F8 | holding | — | — | — | 658,417 | D | ||
| Common StockF6,F8 | holding | — | — | — | 23,956 | D | ||
| Common StockF7,F8 | 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 2016 Annual Meeting of Stockholders.
- F2Includes 8,937 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 2015 Annual Meeting of Stockholders. As of the date of this report, 3,723 shares are vested and 5,214 are unvested.
- 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.
- F4By: VantagePoint Venture Partners IV (Q), L.P.
- F5By: VantagePoint Venture Partners IV, L.P.
- F6By: VantagePoint Venture Partners IV Principals Fund, L.P.
- F7By: VP New York Venture Partners, L.P.
- F8The 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.