SEC Form 4 · accession 0001444363-17-000013
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 6, 2017
Accepted (ET)
Mar 10, 2017 · 5:19 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 6, 2017 | F | 2,042 | $7.98 | D | 111,897 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were withheld by the issuer to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units.
- F2Imputed purchase price for withheld shares based on the closing price of the issuer's common stock on the trading date immediately prior to the vesting date of the restricted stock units.