0001444363-14-000061.txt : 20140402
0001444363-14-000061.hdr.sgml : 20140402
20140402184149
ACCESSION NUMBER: 0001444363-14-000061
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140402
DATE AS OF CHANGE: 20140402
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stevens Glenn Henry
CENTRAL INDEX KEY: 0001472938
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 14739860
MAIL ADDRESS:
STREET 1: 550 HILLS DRIVE, SUITE 210
CITY: BEDMINSTER
STATE: NJ
ZIP: 07921
FORMER NAME:
FORMER CONFORMED NAME: Stevens Glenn H
DATE OF NAME CHANGE: 20090923
4
1
wf-form4_139647849661232.xml
FORM 4
X0306
4
2014-03-31
0
0001444363
GAIN Capital Holdings, Inc.
GCAP
0001472938
Stevens Glenn Henry
135 US HWY. 202/206
BEDMNISTER
NJ
07921
1
1
0
0
President, CEO & Director
Common Stock
2014-03-31
4
S
0
22000
10.9295
D
733082
D
Common Stock
2014-03-31
4
S
0
62600
11.1347
D
670482
D
The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.70 to $11.22, 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.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.83 to $11.25, 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.
/s/ Glenn Henry Stevens
2014-04-02