SEC Form 4 · accession 0001444363-16-000173
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 2, 2016
Accepted (ET)
Mar 4, 2016 · 6:37 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,F2 | Mar 2, 2016 | S | 2,920 | $7.3146 | D | 76,862 | D | |
| Common StockF1 | Mar 3, 2016 | S | 12 | $7.4195 | D | 76,850 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units. The sales were made pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.18 to $7.3899, inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.