4//SEC Filing
Rose Nigel 4
Accession 0001444363-20-000048
CIK 0001444363other
Filed
May 26, 8:00 PM ET
Accepted
May 27, 5:04 PM ET
Size
7.3 KB
Accession
0001444363-20-000048
Insider Transaction Report
Form 4
Rose Nigel
Chief Financial Officer
Transactions
- Award
Common Stock
2020-05-24+12,000→ 103,796 total - Disposition to Issuer
Common Stock
2020-05-26$6.24/sh−6,801$42,426→ 96,995 total
Footnotes (3)
- [F1]As previously disclosed, on May 24, 2018, the reporting person received a compensatory grant of performance-based RSUs ("PRSUs") whose vesting was dependent on the issuer's operating performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs vested as of the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date.
- [F2]The shares were sold to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units. The sales were made 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 $6.21 to $6.26, 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.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeother
Related Parties
1- filerCIK 0001656645
Filing Metadata
- Form type
- 4
- Filed
- May 26, 8:00 PM ET
- Accepted
- May 27, 5:04 PM ET
- Size
- 7.3 KB