SEC Form 4 · accession 0001444363-17-000057
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 8, 2017
Accepted (ET)
May 9, 2017 · 5:31 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 | May 8, 2017 | F | 3,168 | $6.12 | D | 156,764 | 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 vesting date of the restricted stock units.