SEC Form 4 · accession 0001444363-18-000076
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Bevilacqua
Director
Period of report
May 24, 2018
Accepted (ET)
May 29, 2018 · 5:41 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,F3 | May 24, 2018 | A | 12,500 | $0.00 | A | 94,187 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units, which vest monthly over one year, beginning on the day immediately following the Company's 2018 Annual Meeting of Stockholders.
- F2Includes 12,091 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2017 Annual Meeting of Stockholders. As of the date of this report, 10,070 shares are vested and 2021 are unvested.
- F3Mr. Bevilacqua, one of the Issuer's directors, is a managing director of VantagePoint Capital Partners. VantagePoint Management, Inc. has voting and investment control over these shares. Mr. Bevilacqua disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.