SEC Form 4 · accession 0001444363-15-000100
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
May 26, 2015
Accepted (ET)
May 28, 2015 · 6:27 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 26, 2015 | A | 18,927 | $0.00 | A | 69,377 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF2 | $9.51 | May 26, 2015 | A | 13,119 | A | — | — | Common Stock | 13,119 | 13,119 | D |
Explanation of responses
- F1Restricted stock unit, which vests at a rate of 25% annually over four years commencing on the first anniversary of the date of grant.
- F2Such 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.