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