0001444363-20-000048.txt : 20200527 0001444363-20-000048.hdr.sgml : 20200527 20200527170411 ACCESSION NUMBER: 0001444363-20-000048 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: Rose Nigel CENTRAL INDEX KEY: 0001656645 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 20916128 MAIL ADDRESS: STREET 1: 34TH FLOOR (GCG, 34-03) STREET 2: 25 CANADA SQUARE CITY: LONDON STATE: X0 ZIP: E14 5LQ 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_159061343351492.xml FORM 4 X0306 4 2020-05-24 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001656645 Rose Nigel 135 US HWY 202/206 GAIN CAPITAL, BEDMINSTER ONE, BEDMINSTER NJ 07921 0 1 0 0 Chief Financial Officer Common Stock 2020-05-24 4 A 0 12000 0 A 103796 D Common Stock 2020-05-26 4 D 0 6801 6.2382 D 96995 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. The shares were sold to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units. The sales were made 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 $6.21 to $6.26, 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. Nigel Rose 2020-05-27