SEC Form 4 · accession 0001444363-15-000006

GAIN Capital Holdings, Inc. · GCAP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Glenn Henry Stevens

Officer — President, CEO & Director · Director

Period of report

Jan 6, 2015

Accepted (ET)

Jan 8, 2015 · 8:15 pm EST

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
Common Stock^F1	Jan 6, 2015	M	33,920	$0.00	A	635,078	D
Common Stock^F1	Jan 6, 2015	M	13,449	$0.00	A	648,527	D
Common Stock^F1	Jan 6, 2015	M	226,130	$0.00	A	874,657	D
Common Stock^F1	Jan 6, 2015	M	135,678	$0.00	A	1,010,335	D
Common Stock^F1	Jan 6, 2015	M	97,530	$0.00	A	1,107,865	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Restricted Stock Unit^F2	—	Jan 6, 2015	M	33,920	D	—	—	Common Stock	33,920	D
Restricted Stock Unit^F2	—	Jan 6, 2015	M	13,449	D	—	—	Common Stock	13,449	D
Restricted Stock Unit^F3	—	Jan 6, 2015	M	226,130	D	—	—	Common Stock	226,130	D
Restricted Stock Unit^F4	—	Jan 6, 2015	M	135,678	D	—	—	Common Stock	135,678	D
Restricted Stock Unit^F5	—	Jan 6, 2015	M	97,530	D	—	—	Common Stock	97,530	D

Explanation of responses

F1Reflects deferred shares delivered pursuant to restricted stock units listed in Table II below.
F2Such restricted stock units were granted on December 31, 2006 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
F3Such restricted stock units were granted on June 30, 2007 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
F4Such restricted stock units were granted on April 15, 2008 and vested ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.
F5Such restricted stock units were granted on December 15, 2009 and vested ratably over four years, with one-fourth of the restricted stock units vesting on April 15th of each of the four years following the grant, with the delivery of the underlying shares deferred until as soon as administratively practicable on or after December 31, 2014. There was no expiration date for the restricted stock units.