SEC Form 4 · accession 0001444363-15-000046

GAIN Capital Holdings, Inc. · GCAP

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

Reporting owner

Officer — Chief Commercial Officer

Period of report

Mar 6, 2015

Accepted (ET)

Mar 10, 2015 · 4:42 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
Common Stock^F1	Mar 6, 2015	M	11,444	$3.83	A	260,845	D
Common Stock^F1	Mar 6, 2015	M	10,250	$4.40	A	271,095	D
Common Stock^F1	Mar 6, 2015	M	9,500	$5.30	A	280,595	D
Common Stock^F2	Mar 6, 2015	S	31,194	$10.00	D	249,401	D
Common Stock^F3	Mar 6, 2015	S	1,554	$10.0101	D	247,847	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$3.83	Mar 6, 2015	M	11,444	D	—	Jul 28, 2020	Common Stock	11,444	16,960	D
Option to Purchase (Right to Buy)^F4	$4.40	Mar 6, 2015	M	10,250	D	—	Mar 22, 2020	Common Stock	10,250	17,750	D
Stock Option^F4	$5.30	Mar 6, 2015	M	9,500	D	—	Mar 1, 2019	Common Stock	9,500	25,500	D

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 $10.00 to $10.0105, 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 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.