SEC Form 4 · accession 0001444363-18-000005
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
Jan 16, 2018
Accepted (ET)
Jan 18, 2018 · 10:00 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 | Jan 16, 2018 | M | 36,000 | $8.02 | A | 297,354 | D | |
| Common StockF2,F3 | Jan 16, 2018 | S | 36,000 | $8.371 | D | 261,354 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $8.02 | Jan 16, 2018 | M | 36,000 | D | — | Mar 23, 2018 | Common Stock | 36,000 | 0 | D |
Explanation of responses
- F1Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities and Exchange Act.
- F2The 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.
- F3The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.32 to $8.45, 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.
- F4Such stock options vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.