0001444363-18-000005.txt : 20180118
0001444363-18-000005.hdr.sgml : 20180118
20180118220006
ACCESSION NUMBER: 0001444363-18-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180116
FILED AS OF DATE: 20180118
DATE AS OF CHANGE: 20180118
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: 18535385
MAIL ADDRESS:
STREET 1: BEDMINSTER ONE
STREET 2: 135 US HIGHWAY 202/206, SUITE 11
CITY: BEDMINSTER
STATE: NJ
ZIP: 07921
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
4
1
wf-form4_151633079123935.xml
FORM 4
X0306
4
2018-01-16
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
President - Retail
Common Stock
2018-01-16
4
M
0
36000
8.02
A
297354
D
Common Stock
2018-01-16
4
S
0
36000
8.371
D
261354
D
Stock Option
8.02
2018-01-16
4
M
0
36000
8.02
D
2018-03-23
Common Stock
36000.0
0
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 and Exchange Act.
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 $8.32 to $8.45, 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/ Samantha Roady
2018-01-18