4//SEC Filing
GAIN Capital Holdings, Inc. 4
Accession 0001444363-13-000017
CIK 0001444363operating
Filed
Jul 16, 8:00 PM ET
Accepted
Jul 17, 6:08 PM ET
Size
9.7 KB
Accession
0001444363-13-000017
Insider Transaction Report
Form 4
Galant Mark E
Director
Transactions
- Sale
Common Stock
2013-07-15$6.26/sh−6,377$39,941→ 1,125,029 total - Sale
Common Stock
2013-07-17$6.26/sh−3,967$24,843→ 1,100,495 total - Sale
Common Stock
2013-07-16$6.27/sh−20,567$129,023→ 1,104,462 total
Holdings
- 270,535(indirect: See footnote)
Common Stock
Footnotes (4)
- [F1]The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended.
- [F2]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.24 to $6.30, inclusive. The reporting person undertakes to provide to Gain Capital Holdings, Inc., any security holder of Gain Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F3]Includes (i) 14,151 restricted stock units, which vest monthly over one year, beginning on June 16, 2012, the day immediately after the Company's 2012 Annual Meeting of Stockholders, and (ii) 17,046 restricted stock units, which vest monthly over one year, beginning on June 14, 2013, the day immediately after the Company's 2013 Annual Meeting of Stockholders. As of the date of this report, 15,572 shares are vested and 15,625 are unvested.
- [F4]These shares are held indirectly by the 2007 Galant Family Trust, by and among Mark E. Galant, as donor, and the Goldman Sachs Trust Company of Delaware and Farid Naib, as trustees.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001444363
Filing Metadata
- Form type
- 4
- Filed
- Jul 16, 8:00 PM ET
- Accepted
- Jul 17, 6:08 PM ET
- Size
- 9.7 KB