O'Brien Kenneth William 4
4 · GAIN Capital Holdings, Inc. · Filed Dec 6, 2011
Insider Transaction Report
Form 4
O'Brien Kenneth William
SVP, Strategic Integration
Transactions
- Sale
Common Stock
2011-12-02$6.33/sh−1,888$11,951→ 7,622 total - Exercise/Conversion
Stock Option (Right to Buy)
2011-12-02−1,888→ 32,012 totalExercise: $3.83→ Common Stock (1,888 underlying) - Exercise/Conversion
Common Stock
2011-12-02$2.43/sh+3,218$7,820→ 10,840 total - Sale
Common Stock
2011-12-02$6.33/sh−3,218$20,370→ 9,510 total - Exercise/Conversion
Common Stock
2011-12-02$3.83/sh+1,888$7,231→ 12,728 total - Exercise/Conversion
Stock Option (Right to Buy)
2011-12-02−3,218→ 0 totalExercise: $2.43→ Common Stock (3,218 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 July 28, 2010 and vests ratably over four years, with one-quarter of the options vesting on each of the first four anniversaries of the grant date. The options have a term of ten years. As of the date of this report, 6,591 are vested and 25,441 are unvested.