SEC Form 4 · accession 0001444363-18-000115
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alex Goor
Director
Period of report
Jun 27, 2018
Accepted (ET)
Jun 29, 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 | Jun 27, 2018 | P | 100 | $7.50 | A | 55,560 | D | |
| Common StockF2 | Jun 28, 2018 | P | 7,586 | $7.50 | A | 63,146 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were purchased for the custodial account of a minor child of the reporting person pursuant to a plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2The shares were purchased pursuant to a plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Includes 3,986 shares purchased for custodial accounts for the reporting person's minor children.