4//SEC Filing
GAIN Capital Holdings, Inc. 4
Accession 0001179110-17-004817
CIK 0001444363operating
Filed
Mar 16, 8:00 PM ET
Accepted
Mar 17, 3:52 PM ET
Size
19.8 KB
Accession
0001179110-17-004817
Insider Transaction Report
Form 4
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 6,576,911
Common Stock
- 1,814,824
Common Stock
- 23,956
Common Stock
- 658,417
Common Stock
SALZMAN ALAN E
10% Owner
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 1,814,824
Common Stock
- 6,576,911
Common Stock
- 658,417
Common Stock
- 23,956
Common Stock
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 658,417
Common Stock
- 23,956
Common Stock
- 1,814,824
Common Stock
- 6,576,911
Common Stock
VP NEW YORK VENTURE PARTNERS LP
10% Owner
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 658,417
Common Stock
- 23,956
Common Stock
- 1,814,824
Common Stock
- 6,576,911
Common Stock
VantagePoint Management, Inc.
10% Owner
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 6,576,911
Common Stock
- 658,417
Common Stock
- 1,814,824
Common Stock
- 23,956
Common Stock
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 6,576,911
Common Stock
- 23,956
Common Stock
- 1,814,824
Common Stock
- 658,417
Common Stock
VANTAGEPOINT VENTURE PARTNERS IV LP
10% Owner
Transactions
- Award
Common Stock
2017-03-15+12,091→ 81,687 total(indirect: Thomas A. Bevilacqua)
Holdings
- 1,814,824
Common Stock
- 6,576,911
Common Stock
- 658,417
Common Stock
- 23,956
Common Stock
Footnotes (8)
- [F1]Restricted stock units that vest monthly over one year, beginning on the day immediately following the Company's 2017 Annual Meeting of Stockholders.
- [F2]Includes 12,573 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2016 Annual Meeting of Stockholders. As of the date of this report, 8,382 shares are vested and 4,191 are unvested.
- [F3]VantagePoint Management, Inc. has the voting and investment control over these shares. Only VantagePoint Management, Inc. and Alan E. Salzman, its Chief Executive Officer, are acquiring beneficial ownership of these shares.
- [F4]By: VantagePoint Venture Partners IV (Q), L.P.
- [F5]By: VantagePoint Venture Partners IV, L.P.
- [F6]By: VantagePoint Venture Partners IV Principals Fund, L.P.
- [F7]By: VP New York Venture Partners, L.P.
- [F8]The General Partner is VantagePoint Venture Associates IV, L.L.C. Alan E. Salzman is a managing member of the General Partner and may be deemed to have voting and investment power with respect to the shares or warrants held by these entities. Mr. Salzman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001444363
Filing Metadata
- Form type
- 4
- Filed
- Mar 16, 8:00 PM ET
- Accepted
- Mar 17, 3:52 PM ET
- Size
- 19.8 KB