0001179110-13-005854.txt : 20130326 0001179110-13-005854.hdr.sgml : 20130326 20130326165651 ACCESSION NUMBER: 0001179110-13-005854 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130322 FILED AS OF DATE: 20130326 DATE AS OF CHANGE: 20130326 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SALZMAN ALAN E CENTRAL INDEX KEY: 0001098349 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717440 MAIL ADDRESS: STREET 1: C/O VANTAGEPOINT STREET 2: 1001 BAY HILL DR #300 CITY: SAN BRUNO STATE: CA ZIP: 94066 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GAIN Capital Holdings, Inc. CENTRAL INDEX KEY: 0001444363 STANDARD INDUSTRIAL CLASSIFICATION: [6221] IRS NUMBER: 204568600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 550 HILLS DRIVE CITY: BEDMINSTER STATE: NJ ZIP: 07921 BUSINESS PHONE: 908-731-0700 MAIL ADDRESS: STREET 1: 550 HILLS DRIVE CITY: BEDMINSTER STATE: NJ ZIP: 07921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV LP CENTRAL INDEX KEY: 0001114993 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717443 BUSINESS ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV Q LP CENTRAL INDEX KEY: 0001129585 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717444 BUSINESS ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAY HILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VP NEW YORK VENTURE PARTNERS LP CENTRAL INDEX KEY: 0001142869 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717441 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE ASSOCIATES IV LLC CENTRAL INDEX KEY: 0001256847 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717445 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP CENTRAL INDEX KEY: 0001267585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717442 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 6508663100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE STREET 2: SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 FORMER NAME: FORMER CONFORMED NAME: VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP DATE OF NAME CHANGE: 20031020 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VantagePoint Management, Inc. CENTRAL INDEX KEY: 0001488654 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 13717446 BUSINESS ADDRESS: STREET 1: 1001 BAYHILL DRIVE, SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 BUSINESS PHONE: 650-866-3100 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE, SUITE 300 CITY: SAN BRUNO STATE: CA ZIP: 94066 4 1 edgar.xml FORM 4 - X0306 4 2013-03-22 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001256847 VANTAGEPOINT VENTURE ASSOCIATES IV LLC C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001129585 VANTAGEPOINT VENTURE PARTNERS IV Q LP C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001114993 VANTAGEPOINT VENTURE PARTNERS IV LP C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001267585 VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001142869 VP NEW YORK VENTURE PARTNERS LP C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001488654 VantagePoint Management, Inc. C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 0001098349 SALZMAN ALAN E C/O VANTAGEPOINT CAPITAL PARTNERS 1001 BAYHILL DRIVE, SUITE 300 SAN BRUNO CA 94066 0 0 1 0 Common Stock 2013-03-22 4 A 0 17046 0 A 40549 I By: Thomas A. Bevilacqua Common Stock 6576911 D Common Stock 658417 D Common Stock 23956 D Common Stock 1814824 D Restricted stock units, which vest monthly over one year, beginning on the day immediately following the Company's 2013 Annual Meeting of Stockholders. Includes 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 ofStockholders. As of the date of this report, 11,793 shares are vested and 2,358 are unvested. VantagePoint Management, Inc. has the voting and investment control over these shares. Only VantagePoint Management, Inc. and Alan E. Salzman, its Chief Executive Officer, are acquiring beneficial ownership of these shares. By: VantagePoint Venture Partners IV (Q), L.P. By: VantagePoint Venture Partners IV, L.P. By: VantagePoint Venture Partners IV Principals Fund, L.P. By: VP New York Venture Partners L.P. The General Partner is VantagePoint Venture Associates IV, L.L.C. Alan E. Salzman is a managing member of the General Partner and may be deemed to have voting and investment power with respect to the shares or warrants held by these entities. Mr. Salzman disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group. VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2013-03-26 VantagePoint Venture Partners IV (Q), L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2013-03-26 VantagePoint Venture Partners IV, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2013-03-26 VantagePoint Venture Partners IV Principals Fund, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2013-03-26 VP New York Venture Partners, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2013-03-26 VantagePoint Management, Inc., By: Alan E. Salzman, Chief Executive Officer 2013-03-26 Alan E. Salzman 2013-03-26