4//SEC Filing
O'Brien Kenneth William 4
Accession 0001209191-11-051129
CIK 0001444363other
Filed
Oct 6, 8:00 PM ET
Accepted
Oct 7, 11:03 AM ET
Size
14.2 KB
Accession
0001209191-11-051129
Insider Transaction Report
Form 4
O'Brien Kenneth William
SVP, Strategic Integration
Transactions
- Exercise/Conversion
Stock Option (Right to Buy)
2011-10-05−605→ 0 totalExercise: $1.10→ Common Stock (605 underlying) - Exercise/Conversion
Common Stock
2011-10-05$1.10/sh+605$666→ 8,227 total - Sale
Common Stock
2011-10-05$6.53/sh−4,395$28,699→ 7,622 total - Exercise/Conversion
Stock Option (Right to Buy)
2011-10-05−4,395→ 7,565 totalExercise: $1.99→ Common Stock (4,395 underlying) - Exercise/Conversion
Common Stock
2011-10-05$1.99/sh+4,395$8,746→ 12,622 total - Sale
Common Stock
2011-10-05$6.53/sh−605$3,951→ 12,017 total
Footnotes (6)
- [F1]Reflects shares acquired upon exercise of stock options listed in Table II below pursuant to a sales plan dated June 3, 2011, which complies with the requirements of Rule 10b5-1(c)(1) under the Securities and Exchange Act of 1934, as amended.
- [F2]The shares were sold pursuant to the June 3, 2011 sales plan.
- [F3]Includes 6000 shares acquired through a restricted stock award on March 23, 2011. Such shares ratably vest 25% per year on each of the first four anniversaries of the grant date. As of the date of this report, 0 shares are vested and 6000 remain unvested.
- [F4]Includes 1,622 shares acquired on July 1, 2011 through an employee stock purchase plan.
- [F5]Such stock options were granted on December 21, 2004 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. The options have a term of ten years.
- [F6]Such stock options were granted on June 15, 2005 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. The options have a term of ten years.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeother
Related Parties
1- filerCIK 0001506225
Filing Metadata
- Form type
- 4
- Filed
- Oct 6, 8:00 PM ET
- Accepted
- Oct 7, 11:03 AM ET
- Size
- 14.2 KB