SEC Form 4 · accession 0001444363-18-000107
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
Jun 15, 2018
Accepted (ET)
Jun 19, 2018 · 4:54 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 | Jun 15, 2018 | S | 5,000 | $8.2387 | D | 230,508 | D | |
| Common StockF3 | Jun 18, 2018 | M | 2,626 | $5.30 | A | 233,134 | D | |
| Common StockF1,F3 | Jun 18, 2018 | S | 2,626 | $8.25 | D | 230,508 | 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 | $5.30 | Jun 18, 2018 | M | 2,626 | D | — | Mar 1, 2019 | Common Stock | 2,626 | 22,874 | D |
Explanation of responses
- F1The 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.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.17 to $8.31, 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.
- F3Reflects shares acquired upon exercise of stock options listed in Table II below.
- 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.