SEC Form 4 · accession 0001444363-18-000103
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Glenn Henry Stevens
Officer — President, CEO & Director · Director
Period of report
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 8:40 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 | May 30, 2018 | S | 9,913 | $7.97 | D | 1,656,121 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold in a private transaction, the proceeds of which will be used to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units.
- F2The sale price is equal to the closing price of GCAP's common stock on May 25, 2018, which price was used to calculate the reporting person's tax withholding obligations.