SEC Form 4 · accession 0001444363-15-000080
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samantha Roady
Officer — Chief Commercial Officer
Period of report
May 1, 2015
Accepted (ET)
May 5, 2015 · 5:51 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 | May 1, 2015 | M | 16,960 | $3.83 | A | 276,658 | D | |
| Common StockF2 | May 1, 2015 | S | 16,960 | $10.00 | D | 259,698 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $3.83 | May 1, 2015 | M | 16,960 | D | — | Jul 28, 2020 | Common Stock | 16,960 | 0 | 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.
- F3Such 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 ten years.