McCrory Gerry 4
4 · GAIN Capital Holdings, Inc. · Filed Dec 22, 2010
Insider Transaction Report
Form 4
McCrory Gerry
Director
Transactions
- Sale
Common Stock
2010-12-20$9.00/sh−1,791,352$16,122,168→ 770,323 total(indirect: See Footnote) - Conversion
Warrants
2010-12-20−223,514→ 505,434 total(indirect: See Footnote)Exercise: $1.11From: 2001-07-25Exp: 2011-07-25→ Common Stock (505,434 underlying) - Conversion
Common Stock
2010-12-20+1,303,309→ 1,303,309 total(indirect: See Footnote) - Conversion
Common Stock
2010-12-20+1,258,366→ 2,561,675 total(indirect: See Footnote) - Conversion
Series B Preferred Stock
2010-12-20−640,506→ 0 total(indirect: See Footnote)→ Common Stock (1,258,366 underlying) - Conversion
Series A Preferred Stock
2010-12-20−663,382→ 0 total(indirect: See Footnote)→ Common Stock (1,303,309 underlying)
Footnotes (3)
- [F1]Each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into common stock, and reflects the stock split, certain indemnification obligations triggered by the adjustment to the Series E Preferred Stock conversion price, and all other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of Issuer's initial public offering of common stock.
- [F2]The reporting person is a managing director of Cross Atlantic Capital Partners and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- [F3]Each share of Series B Preferred Stock issuable upon exercise of the warrant automatically converted into shares of common stock issuable upon exercise of the warrant, and reflects the stock split, certain indemnification obligations triggered by the adjustment to the Series E Preferred Stock conversion price, and all other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of Issuer's initial public offering of common stock.