SEC Form 4 · accession 0001444363-16-000252
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
May 5, 2016
Accepted (ET)
May 9, 2016 · 8:30 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 | 44,378 | $0.00 | A | 116,081 | 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 | $6.76 | May 5, 2016 | A | 34,403 | A | — | — | Common Stock | 34,403 | 34,403 | D |
Explanation of responses
- F1Restricted stock units, which vest at a rate of 25% annually over four years commencing on the first anniversary of the date of grant.
- F2Such stock options vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.