SEC Form 4 · accession 0001444363-17-000081
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samantha Roady
Officer — President - Retail
Period of report
Jul 18, 2017
Accepted (ET)
Jul 19, 2017 · 6:37 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 | Jul 18, 2017 | S | 3,597 | $6.5014 | D | 262,757 | D | |
| Common StockF1,F3 | Jul 19, 2017 | S | 1,403 | $6.523 | D | 261,354 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.52, inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.59 inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.