SEC Form 4 · accession 0001444363-17-000026
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Bevilacqua
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 4:21 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,F2,F3 | Mar 15, 2017 | A | 12,091 | $0.00 | A | 81,687 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units, which vest monthly over one year, beginning on the day immediately following the Company's 2017 Annual Meeting of Stockholders.
- F2Includes 12,573 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2016 Annual Meeting of Stockholders. As of the date of this report, 8,382 shares are vested and 4,191 are unvested.
- F3Mr. Bevilacqua, one of the Issuer's directors, is a managing director of VantagePoint Capital Partners. VantagePoint Management, Inc. has voting and investment control over these shares. Mr. Bevilacqua disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.