Form Type: 4

SEC EDGAR Link
Accession Number:0001444363-15-000117
Date:2015-06-29
Issuer: GAIN CAPITAL HOLDINGS, INC. (GCAP)
Original Submission Date:

Reporting Person:

STEVENS GLENN HENRY
135 US HWY. 202/206
BEDMNISTER, NJ 07921

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2015-06-29 M 20,000 a $2.43 1,209,883 direct
COMMON STOCK 2015-06-30 M 20,000 a $2.43 1,229,883 direct
COMMON STOCK 2015-07-01 M 10,002 a $2.43 1,239,885 direct
COMMON STOCK 2015-06-29 S 29,998 d $9.69 1,209,887 direct
COMMON STOCK 2015-06-30 S 20,000 d $9.54 1,189,887 direct
COMMON STOCK 2015-07-01 S 10,002 d $9.56 1,179,885 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 2.43 2015-06-29 deemed execution date M 20,000 (d) common stock 20,000 $2.43 30,002 direct
STOCK OPTION (RIGHT TO BUY) 2.43 2015-06-30 deemed execution date M 20,000 (d) common stock 20,000 $2.43 10,002 direct
STOCK OPTION (RIGHT TO BUY) 2.43 2015-07-01 deemed execution date M 10,002 (d) common stock 10,002 $2.43 0 direct
Footnotes
IDfootnote
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 and exchange act.
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 $9.53 to $10.05, 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 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $9.49 to $9.70, 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 $9.4988 to $9.65, 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.
f6 such stock options were granted on december 30, 2005 and vested ratably over three years, with one-third of the options vesting on each of the first three anniversaries of the grant date. the stock options have a term of ten years.
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