0001444363-13-000075.txt : 20131204 0001444363-13-000075.hdr.sgml : 20131204 20131204161814 ACCESSION NUMBER: 0001444363-13-000075 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131202 FILED AS OF DATE: 20131204 DATE AS OF CHANGE: 20131204 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: Calhoun Christopher Warren CENTRAL INDEX KEY: 0001506926 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 131257515 MAIL ADDRESS: STREET 1: 15 SANDY RIDGE ROAD CITY: STOCKTON STATE: NJ ZIP: 08559 4 1 wf-form4_138619188354090.xml FORM 4 X0306 4 2013-12-02 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001506926 Calhoun Christopher Warren C/O GAIN CAPITAL HOLDINGS, INC. BEDMINSTER ONE, 135 US HWY. 202/206 BEDMINSTER NJ 07921 1 0 0 0 Common Stock 2013-12-02 4 M 0 3988 2.87 A 18193 D Common Stock 2013-12-02 4 S 0 8250 9.1205 D 9943 D Option to Purchase (Right to Buy) 2.87 2013-12-02 4 M 0 3988 2.87 D Common Stock 3988.0 38135 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(c)(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(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 $9.02 to $9.18, 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 January 31, 2006 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 term of ten years. /s/ Christopher Warren Calhoun 2013-12-04