SEC Form 4 · accession 0001444363-15-000103
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris Sugden
Director
Period of report
Mar 5, 2014
Accepted (ET)
May 28, 2015 · 7:35 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 5, 2014 | A | 7,537 | $0.00 | A | 91,982 | D | |
| Common StockF2 | May 26, 2015 | A | 8,937 | $0.00 | A | 100,919 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units issued to the reporting person as compensation for service as a non-executive director of the issuer during 2014. The RSUs vest in twelve equal monthly installments starting one month after the day following the issuer's annual meeting of stockholders in the year of grant. Although the grant has previously been disclosed in the issuer's reports with the SEC, it has not been reported on a Form 4 by the reporting person.
- F2Restricted stock units issued to the reporting person as compensation for service as a non-executive director of the issuer. The RSUs vest in twelve equal monthly installments starting one month after the day following the issuer's annual meeting of stockholders in the year of grant.