SEC Form 4 · accession 0001444363-15-000063
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diego Rotsztain
Officer — General Counsel and Secretary
Period of report
Mar 23, 2015
Accepted (ET)
Mar 25, 2015 · 5:41 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 | Mar 23, 2015 | S | 3,443 | $9.6071 | D | 85,027 | D | |
| Common StockF1 | Mar 24, 2015 | S | 1,690 | $9.5972 | D | 83,337 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.