SEC Form 4 · accession 0001444363-18-000174
GAIN Capital Holdings, Inc. · GCAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diego Rotsztain
Officer — General Counsel and Secretary
Period of report
Dec 11, 2018
Accepted (ET)
Dec 13, 2018 · 6:35 pm EST
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 Stock | Dec 11, 2018 | M | 28,000 | $4.40 | A | 148,363 | D | |
| Common Stock | Dec 11, 2018 | M | 11,250 | $5.30 | A | 159,613 | D | |
| Common StockF1 | Dec 11, 2018 | S | 39,250 | $7.3352 | D | 120,363 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $4.40 | Dec 11, 2018 | M | 28,000 | D | — | Mar 22, 2020 | Common Stock | 28,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $5.30 | Dec 11, 2018 | M | 11,250 | D | — | Mar 1, 2019 | Common Stock | 11,250 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.24 to $7.51, 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.
- F2Such 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.