SEC Form 4 · accession 0001444363-17-000112
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex Goor
Director
Period of report
Oct 24, 2017
Accepted (ET)
Oct 26, 2017 · 9:08 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 | Oct 24, 2017 | A | 18,057 | $0.00 | A | 23,057 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units issued to the reporting person as compensation for service as a non-executive director of the issuer. 33.33% of the RSUs granted will vest on November 8, 2017, with the remainder vesting in eight equal monthly installments commencing on December 8, 2017.