0001179110-15-009305.txt : 20150608 0001179110-15-009305.hdr.sgml : 20150608 20150608155544 ACCESSION NUMBER: 0001179110-15-009305 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140305 FILED AS OF DATE: 20150608 DATE AS OF CHANGE: 20150608 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: BEDMINSTER ONE, SUITE 11 STREET 2: 135 US HWY 202/206 CITY: BEDMINSTER STATE: NJ ZIP: 07921 BUSINESS PHONE: 908-731-0700 MAIL ADDRESS: STREET 1: BEDMINSTER ONE, SUITE 11 STREET 2: 135 US HWY 202/206 CITY: BEDMINSTER STATE: NJ ZIP: 07921 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: 15918434 MAIL ADDRESS: STREET 1: C/O VANTAGEPOINT STREET 2: 1001 BAY HILL DR #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: 15918437 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 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: 15918438 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: 15918439 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 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: 15918440 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 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: 15918435 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 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: 15918436 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 4 1 edgar.xml FORM 4 - X0306 4 2014-03-05 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 2014-03-05 4 A 0 7537 0 A 48086 I Thomas A. Bevilacqua Common Stock 2015-05-26 4 A 0 8937 0 A 57023 I Thomas A. Bevilacqua Common Stock 6576911 D Common Stock 658417 D Common Stock 23956 D Common Stock 1814824 D Restricted stock units that vest monthly over one year, beginning on the day immediately following the Company's 2014 Annual Meeting of Stockholders. Although the grant has previously been disclosed in the Company's reports with the SEC, it has not been reported on a Form 4 by the reporting person. Includes 17,046 shares that were issued upon the settlement of restricted stock units that vested monthly over one year, beginning on the day immediately after the Company's 2013 Annual Meeting of Stockholders. 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. Restricted stock units that vest monthly over one year, beginning on the day immediately following the Company's 2015 Annual Meeting of Stockholders. This Form 4 is being submitted after the two business day filing deadline following the transaction date. Includes 7,537 restricted stock units, which vest monthly over one year, beginning on June 26, 2014, the day immediately after the Company's 2014 Annual Meeting of Stockholders. As of the date of this report, 6,908 shares are vested and 629 are unvested. 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 2015-06-08 VantagePoint Venture Partners IV (Q), L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2015-06-08 VantagePoint Venture Partners IV, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2015-06-08 VantagePoint Venture Partners IV Principals Fund, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2015-06-08 VP New York Venture Partners, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member 2015-06-08 VantagePoint Management, Inc., By: Alan E. Salzman, Chief Executive Officer 2015-06-08 Alan E. Salzman 2015-06-08