4//SEC Filing
O'Brien Kenneth William 4
Accession 0001209191-11-054456
CIK 0001444363other
Filed
Nov 3, 8:00 PM ET
Accepted
Nov 4, 2:53 PM ET
Size
14.2 KB
Accession
0001209191-11-054456
Insider Transaction Report
Form 4
O'Brien Kenneth William
SVP, Strategic Integration
Transactions
- Exercise/Conversion
Common Stock
2011-11-02$1.99/sh+7,565$15,054→ 17,622 total - Sale
Common Stock
2011-11-02$6.97/sh−7,565$52,728→ 7,622 total - Exercise/Conversion
Common Stock
2011-11-02$2.43/sh+2,435$5,917→ 10,057 total - Sale
Common Stock
2011-11-02$6.97/sh−2,435$16,972→ 15,187 total - Exercise/Conversion
Stock Option (Right to Buy)
2011-11-02−2,435→ 3,218 totalExercise: $2.43→ Common Stock (2,435 underlying) - Exercise/Conversion
Stock Option (Right to Buy)
2011-11-02−7,565→ 0 totalExercise: $1.99→ Common Stock (7,565 underlying)
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 30, 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.
- [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
- Nov 3, 8:00 PM ET
- Accepted
- Nov 4, 2:53 PM ET
- Size
- 14.2 KB