SEC Form 4 · accession 0001444363-18-000082
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
May 24, 2018
Accepted (ET)
May 29, 2018 · 5:45 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 | May 24, 2018 | A | 16,875 | $0.00 | A | 238,066 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Compensatory grant of restricted stock units ("RSUs"), which vests in three equal annual installments commencing on the first anniversary of the date of grant. The reporting person also received a compensatory grant of performance-based RSUs whose vesting is dependent on the issuer's operating performance. The performance-based RSU grant shall be reported separately once the number of shares to be issued has been finally determined.