SEC Form 4 · accession 0001179110-18-007735
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Alan E Salzman
Other
VANTAGEPOINT VENTURE PARTNERS IV LP
10% Owner
VP NEW YORK VENTURE PARTNERS LP
10% Owner
VantagePoint Management, Inc.
10% Owner
Period of report
May 24, 2018
Accepted (ET)
May 31, 2018 · 5:19 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 24, 2018 | A | 12,500 | $0.00 | A | 94,187 | 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 2018 Annual Meeting of Stockholders.
- F2Includes 12,091 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2017 Annual Meeting of Stockholders. As of the date of this report, 10,070 shares are vested and 2021 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.