O'Brien Kenneth William 4
4 · GAIN Capital Holdings, Inc. · Filed Oct 7, 2011
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.