4//SEC Filing
GAIN Capital Holdings, Inc. 4
Accession 0001444363-15-000064
CIK 0001444363operating
Filed
Mar 24, 8:00 PM ET
Accepted
Mar 25, 5:42 PM ET
Size
12.5 KB
Accession
0001444363-15-000064
Insider Transaction Report
Form 4
Scott Jeffrey
Chief Commercial Officer
Transactions
- Exercise/Conversion
Common Stock
2015-03-23$4.40/sh+10,250$45,100→ 82,575 total - Exercise/Conversion
Stock Option (Right to Buy)
2015-03-23−15,000→ 0 totalExercise: $8.02Exp: 2018-03-23→ Common Stock (15,000 underlying) - Exercise/Conversion
Option to Purchase (Right to Buy)
2015-03-23−10,250→ 7,500 totalExercise: $4.40Exp: 2020-03-22→ Common Stock (10,250 underlying) - Exercise/Conversion
Common Stock
2015-03-23$8.02/sh+15,000$120,300→ 72,325 total - Sale
Common Stock
2015-03-23$9.61/sh−32,125$308,737→ 50,450 total
Footnotes (4)
- [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 $9.57 to $9.76, 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 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
- Mar 24, 8:00 PM ET
- Accepted
- Mar 25, 5:42 PM ET
- Size
- 12.5 KB