SEC Form 4 · accession 0001444363-16-000167
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glenn Henry Stevens
Officer — President, CEO & Director · Director
Period of report
Feb 18, 2016
Accepted (ET)
Feb 22, 2016 · 6:08 pm EST
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 | Feb 18, 2016 | M | 150,000 | $3.83 | A | 1,269,885 | 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)F2,F3 | $3.83 | Feb 18, 2016 | M | 150,000 | D | — | — | Common Stock | 150,000 | 98,743 | D |
Explanation of responses
- F1Reflects shares acquired upon exercise of stock options listed in Table II below.
- F2Such stock option vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date, July 28, 2010.
- F3The stock options expire on July 28, 2020, the tenth anniversary of the grant date.