0001444363-15-000050.txt : 20150310 0001444363-15-000050.hdr.sgml : 20150310 20150310185741 ACCESSION NUMBER: 0001444363-15-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150306 FILED AS OF DATE: 20150310 DATE AS OF CHANGE: 20150310 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: Rotsztain Diego CENTRAL INDEX KEY: 0001511110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 15690616 MAIL ADDRESS: STREET 1: 135 US HIGHWAY 202/206, SUITE 11 CITY: BEDMINSTER STATE: NJ ZIP: 07921 4 1 wf-form4_142602825178100.xml FORM 4 X0306 4 2015-03-06 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001511110 Rotsztain Diego C/O GAIN CAPITAL HOLDINGS, INC. 135 U.S. RT. 202/206, SUITE 11 BEDMINSTER NJ 07921 0 1 0 0 General Counsel and Secretary Common Stock 2015-03-06 4 M 0 2000 5.30 A 98813 D Common Stock 2015-03-06 4 S 0 10343 9.9826 D 88470 D Stock Option 5.3 2015-03-06 4 M 0 2000 0 D 2019-03-01 Common Stock 2000.0 20500 D Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 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 $9.9658 to $10.00, 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 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. /s/ Diego Rotsztain 2015-03-10