SEC Form 4 · accession 0001444363-15-000008
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Warren Calhoun
Director
Period of report
Jan 6, 2015
Accepted (ET)
Jan 8, 2015 · 8:16 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 6, 2015 | M | 33,920 | $0.00 | A | 38,482 | D | |
| Common StockF1 | Jan 6, 2015 | M | 79,146 | $0.00 | A | 117,628 | D | |
| Common StockF1 | Jan 6, 2015 | M | 30,151 | $0.00 | A | 147,779 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2 | — | Jan 6, 2015 | M | 33,920 | D | — | — | Common Stock | 33,920 | 0 | D |
| Restricted Stock UnitF3 | — | Jan 6, 2015 | M | 79,146 | D | — | — | Common Stock | 79,146 | 0 | D |
| Restricted Stock UnitF4 | — | Jan 6, 2015 | M | 30,151 | D | — | — | Common Stock | 30,151 | 0 | 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.