O'Brien Kenneth William 4
4 · GAIN Capital Holdings, Inc. · Filed Dec 13, 2011
Insider Transaction Report
Form 4
O'Brien Kenneth William
SVP, Strategic Integration
Transactions
- Exercise/Conversion
Common Stock
2011-12-09$3.83/sh+4,894$18,744→ 12,516 total - Sale
Common Stock
2011-12-09$6.51/sh−4,894$31,860→ 7,622 total - Exercise/Conversion
Stock Option (Right to Buy)
2011-12-09−4,894→ 27,138 totalExercise: $3.83→ Common Stock (4,894 underlying)
Footnotes (5)
- [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 6,000 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 6,000 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 July 28, 2010 and vest 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, 1,697 are vested and 25,441 are unvested.