SEC Form 4 · accession 0001444363-18-000002
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
Dec 28, 2017
Accepted (ET)
Jan 2, 2018 · 5:30 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 | Dec 28, 2017 | S | 49,149 | $9.00 | D | 107,615 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold pursuant to a pre-established sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.