SEC Form 4 · accession 0001444363-16-000243
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chris Sugden
Director
Period of report
May 5, 2016
Accepted (ET)
May 9, 2016 · 7:50 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 5, 2016 | A | 12,573 | $0.00 | A | 113,492 | 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. 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.