SEC Form 4 · accession 0001444363-16-000179
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
Mar 7, 2016
Accepted (ET)
Mar 9, 2016 · 5:16 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 | Mar 7, 2016 | S | 1,828 | $7.4238 | D | 64,936 | 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.