Sugden Chris 4
4 · GAIN Capital Holdings, Inc. · Filed Mar 26, 2013
Insider Transaction Report
Form 4
Sugden Chris
Director
Transactions
- Award
Common Stock
2013-03-22+17,046→ 5,451,283 total(indirect: See Footnote)
Footnotes (3)
- [F1]Restricted stock units, which vest monthly over one year, beginning on the day immediately following the Company's 2013 Annual Meeting of Stockholders.
- [F2]Includes 14,151 restricted stock units, which vest monthly over one year, beginning on June 16, 2012, the day immediately after the Company's 2012 Annual Meeting of Stockholders. As of the date of this report, 11,793 shares are vested and 2,358 are unvested.
- [F3]Mr. Sugden, one of the Issuer's directors, is a member of Edison Partners IV SBIC, LLC, the general partner of Edison Venture Fund IV SBIC, L.P. Mr. Sugden disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Voting and dispositive authority of the shares held by Edison Venture Fund IV SBIC, L.P. are shared by John Martinson, Joseph Allegra, Gary Golding, Ross Martinson and Christopher Sugden, each a member of Edison Partners IV SBIC, LLC.