0001444363-14-000067.txt : 20140418 0001444363-14-000067.hdr.sgml : 20140418 20140418171609 ACCESSION NUMBER: 0001444363-14-000067 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140416 FILED AS OF DATE: 20140418 DATE AS OF CHANGE: 20140418 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: Roady Samantha CENTRAL INDEX KEY: 0001506226 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 14772477 MAIL ADDRESS: STREET 1: BEDMINSTER ONE STREET 2: 135 US HIGHWAY 202/206, SUITE 11 CITY: BEDMINSTER STATE: NJ ZIP: 07921 4 1 wf-form4_139785575769833.xml FORM 4 X0306 4 2014-04-16 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001506226 Roady Samantha C/O GAIN CAPITAL HOLDINGS, INC. 135 U.S. RT. 202/206, SUITE 11 BEDMINSTER NJ 07921 0 1 0 0 Chief Marketing Officer Common Stock 2014-04-16 4 M 0 8000 2.43 A 118650 D Common Stock 2014-04-16 4 S 0 38000 10.0089 D 80650 D Stock Option (Right to Buy) 2.43 2014-04-16 4 M 0 8000 2.43 D Common Stock 8000.0 62565 D Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan dated May 31, 2011, which complies with the requirements of Rule 10b5-1(c)(1) under the Securities and Exchange Act. 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 $9.77 to $10.08, 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. Such stock options were granted on December 30, 2005 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. The options have a term of ten years. /s/ Samantha Roady 2014-04-18