SEC Form 4 · accession 0001444363-15-000020
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Scott
Officer — Chief Operating Officer
Period of report
Jan 15, 2015
Accepted (ET)
Jan 20, 2015 · 5:23 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 15, 2015 | M | 17,500 | $5.30 | A | 98,350 | D | |
| Common StockF1 | Jan 15, 2015 | M | 10,250 | $4.40 | A | 108,600 | D | |
| Common StockF2,F3 | Jan 15, 2015 | S | 39,750 | $8.3072 | D | 68,850 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $5.30 | Jan 15, 2015 | M | 17,500 | D | — | Mar 1, 2019 | Common Stock | 17,500 | 17,500 | D |
| Option to Purchase (Right to Buy)F5 | $4.40 | Jan 15, 2015 | M | 10,250 | D | — | Mar 22, 2020 | Common Stock | 10,250 | 17,750 | D |
Explanation of responses
- F1Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.89 to $8.83, inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4Such stock options were granted on March 1, 2012 and vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.
- F5Such stock options were granted on March 22, 2013 and vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.