0001444363-13-000079.txt : 20131216 0001444363-13-000079.hdr.sgml : 20131216 20131216165154 ACCESSION NUMBER: 0001444363-13-000079 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131212 FILED AS OF DATE: 20131216 DATE AS OF CHANGE: 20131216 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: SCHENK JOSEPH A CENTRAL INDEX KEY: 0001230923 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 131279486 MAIL ADDRESS: STREET 1: C/O JEFFERIES & COMPANY, INC. STREET 2: 520 MADISON AVE. 12TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 4 1 wf-form4_138723070339194.xml FORM 4 X0306 4 2013-12-12 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001230923 SCHENK JOSEPH A C/O GAIN CAPITAL HOLDINGS, INC. BEDMINSTER ONE, 135 US HWY. 202/206 BEDMINSTER NJ 07921 1 0 0 0 Common Stock 2013-12-12 4 P 0 5000 7.8935 A 59220 D The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.62 to $8.42, 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. Includes 17,046 restricted stock units, which vest monthly over one year, beginning on June 14, 2013, the day immediately after the Company's 2013 Annual Meeting of Stockholders. As of the date of this report, 8,523 shares are vested and 8,523 are unvested. /s/ Joseph A. Schenk 2013-12-16