0001179110-18-007735.txt : 20180531 0001179110-18-007735.hdr.sgml : 20180531 20180531171925 ACCESSION NUMBER: 0001179110-18-007735 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180524 FILED AS OF DATE: 20180531 DATE AS OF CHANGE: 20180531 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SALZMAN ALAN E CENTRAL INDEX KEY: 0001098349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872632 MAIL ADDRESS: STREET 1: C/O VANTAGEPOINT STREET 2: 1001 BAY HILL DR #300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV Q LP CENTRAL INDEX KEY: 0001129585 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872637 BUSINESS ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE ASSOCIATES IV LLC CENTRAL INDEX KEY: 0001256847 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872638 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VantagePoint Management, Inc. CENTRAL INDEX KEY: 0001488654 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872633 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE, SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 650-866-3100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE, SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV LP CENTRAL INDEX KEY: 0001114993 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872636 BUSINESS ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP CENTRAL INDEX KEY: 0001267585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872635 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 FORMER NAME: FORMER CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP DATE OF NAME CHANGE: 20031020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VP NEW YORK VENTURE PARTNERS LP CENTRAL INDEX KEY: 0001142869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18872634 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GAIN Capital Holdings, Inc. CENTRAL INDEX KEY: 0001444363 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 204568600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: BEDMINSTER ONE, SUITE 11 STREET 2: 135 US HWY 202/206 CITY: BEDMINSTER STATE: NJ ZIP: 07921 BUSINESS PHONE: 908-731-0700 MAIL ADDRESS: STREET 1: BEDMINSTER ONE, SUITE 11 STREET 2: 135 US HWY 202/206 CITY: BEDMINSTER STATE: NJ ZIP: 07921 4 1 edgar.xml FORM 4 - X0306 4 2018-05-24 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001256847 VANTAGEPOINT VENTURE ASSOCIATES IV LLC 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001129585 VANTAGEPOINT VENTURE PARTNERS IV Q LP 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001114993 VANTAGEPOINT VENTURE PARTNERS IV LP 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001267585 VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001142869 VP NEW YORK VENTURE PARTNERS LP 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001488654 VantagePoint Management, Inc. 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 1 0 0001098349 SALZMAN ALAN E 1111 BAYHILL DRIVE, SUITE 220 C/O VANTAGEPOINT CAPITAL PARTNERS SAN BRUNO CA 94066 0 0 0 1 Managing Member, VPVA IV, LLC Common Stock 2018-05-24 4 A 0 12500 0 A 94187 I Thomas A. Bevilacqua Common Stock 6576911 D Common Stock 658417 D Common Stock 23956 D Common Stock 1814824 D Restricted Stock Units that vest monthly over one year, beginning on the day immediately following the Company's 2018 Annual Meeting of Stockholders. Includes 12,091 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2017 Annual Meeting of Stockholders. As of the date of this report, 10,070 shares are vested and 2021 are unvested. VantagePoint Management, Inc. has the voting and investment control over these shares. Only VantagePoint Management, Inc. and Alan E. Salzman, its Chief Executive Officer, are acquiring beneficial ownership of these shares. By VantagePoint Venture Partners IV (Q), L.P. By VantagePoint Venture Partners IV, L.P. By VantagePoint Venture Partners IV Principals Fund, L.P. By VP New York Venture Partners, L.P. The General Partner is VantagePoint Venture Associates IV, L.L.C. Alan E. Salzman is a managing member of the General Partner and may be deemed to have voting and investment power with respect to the shares or warrants held by these entities. Mr. Salzman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group. Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31 Alan E. Salzman 2018-05-31