0001444363-20-000044.txt : 20200527 0001444363-20-000044.hdr.sgml : 20200527 20200527165556 ACCESSION NUMBER: 0001444363-20-000044 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200524 FILED AS OF DATE: 20200527 DATE AS OF CHANGE: 20200527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stevens Glenn Henry CENTRAL INDEX KEY: 0001472938 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 20915949 MAIL ADDRESS: STREET 1: 550 HILLS DRIVE, SUITE 210 CITY: BEDMINSTER STATE: NJ ZIP: 07921 FORMER NAME: FORMER CONFORMED NAME: Stevens Glenn H DATE OF NAME CHANGE: 20090923 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_159061293885861.xml FORM 4 X0306 4 2020-05-24 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001472938 Stevens Glenn Henry 135 US HWY. 202/206 BEDMNISTER NJ 07921 1 1 0 0 President, CEO & Director Common Stock 2020-05-24 4 A 0 60000 0 A 1837816 D As previously disclosed, on May 24, 2018, the reporting person received a compensatory grant of performance-based RSUs ("PRSUs") whose vesting was dependent on the issuer's operating performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs vested as of the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date. /s/ Glenn Henry Stevens 2020-05-27