GAIN Capital Holdings, Inc. 4
4 · GAIN Capital Holdings, Inc. · Filed Aug 21, 2013
Insider Transaction Report
Form 4
Galant Mark E
Director
Transactions
- Sale
Common Stock
2013-08-20$7.30/sh−44,235$323,039→ 896,993 total - Sale
Common Stock
2013-08-21$7.24/sh−15,035$108,804→ 881,958 total - Sale
Common Stock
2013-08-19$7.32/sh−40,730$298,262→ 941,228 total
Footnotes (5)
- [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 $7.11 to $7.48, 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, 16,992 shares are vested and 14,205 are unvested.
- [F4]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.15 to $7.50, 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.
- [F5]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.06 to $7.44, 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.