4//SEC Filing
GAIN Capital Holdings, Inc. 4
Accession 0001444363-15-000020
CIK 0001444363operating
Filed
Jan 19, 7:00 PM ET
Accepted
Jan 20, 5:23 PM ET
Size
12.8 KB
Accession
0001444363-15-000020
Insider Transaction Report
Form 4
Scott Jeffrey
Chief Commercial Officer
Transactions
- Exercise/Conversion
Stock Option
2015-01-15−17,500→ 17,500 totalExercise: $5.30Exp: 2019-03-01→ Common Stock (17,500 underlying) - Exercise/Conversion
Common Stock
2015-01-15$4.40/sh+10,250$45,100→ 108,600 total - Exercise/Conversion
Common Stock
2015-01-15$5.30/sh+17,500$92,750→ 98,350 total - Sale
Common Stock
2015-01-15$8.31/sh−39,750$330,211→ 68,850 total - Exercise/Conversion
Option to Purchase (Right to Buy)
2015-01-15−10,250→ 17,750 totalExercise: $4.40Exp: 2020-03-22→ Common Stock (10,250 underlying)
Footnotes (5)
- [F1]Reflects shares acquired upon exercise of stock options listed in Table II below, pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- [F2]The shares were sold pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- [F3]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.89 to $8.83, 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.
- [F4]Such stock options were granted on March 1, 2012 and vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.
- [F5]Such stock options were granted on March 22, 2013 and vest 25% annually over four years commencing on the first anniversary of the date of grant. The stock options have a term of seven years.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001444363
Filing Metadata
- Form type
- 4
- Filed
- Jan 19, 7:00 PM ET
- Accepted
- Jan 20, 5:23 PM ET
- Size
- 12.8 KB