3//SEC Filing
VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP 3
Accession 0001209191-10-060459
CIK 0001444363other
Filed
Dec 13, 7:00 PM ET
Accepted
Dec 14, 9:41 PM ET
Size
24.2 KB
Accession
0001209191-10-060459
Insider Transaction Report
Form 3
Holdings
Series D Preferred Stock
→ Common Stock (2,358,991 underlying)Series D Preferred Stock
→ Common Stock (650,936 underlying)Series E Preferred Stock
→ Common Stock (89,286 underlying)Series E Preferred Stock
→ Common Stock (1,179 underlying)Series E Preferred Stock
→ Common Stock (323,570 underlying)Series D Preferred Stock
→ Common Stock (236,159 underlying)Series E Preferred Stock
→ Common Stock (32,393 underlying)Series D Preferred Stock
→ Common Stock (8,592 underlying)
Footnotes (6)
- [F1]These securities are Series D Preferred Stock and Series E Preferred Stock of the Issuer and do not have an expiration date. These securities will convert automatically into shares of common stock upon the closing of the Issuer's initial public offering, subject to certain conditions.
- [F2]Immediately prior to the closing of the Issuer's initial public offering, subject to certain conditions, each share of Series D Preferred Stock and Series E Preferred Stock will convert automatically into shares of the Issuer's common stock and will also subsequently be adjusted to reflect a 2.29-for-1 stock split of the Issuer's common stock.
- [F3]These securities are directly held by VantagePoint Venture Partners IV (Q), L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV (Q). VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. 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.
- [F4]These securities are directly held by VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. 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.
- [F5]These securities are directly held by VantagePoint Venture Partners IV, Principals Fund, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV, Principals Fund, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. 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.
- [F6]These securities are directly held by VP New York Venture Partners, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VP New York Venture Partners, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. 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 typeother
IncorporatedDE
Related Parties
1- filerCIK 0001267585
Filing Metadata
- Form type
- 3
- Filed
- Dec 13, 7:00 PM ET
- Accepted
- Dec 14, 9:41 PM ET
- Size
- 24.2 KB