0001179110-16-024210.txt : 20160509
0001179110-16-024210.hdr.sgml : 20160509
20160509195957
ACCESSION NUMBER: 0001179110-16-024210
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160505
FILED AS OF DATE: 20160509
DATE AS OF CHANGE: 20160509
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: 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: 161633325
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: 161633326
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: 161633327
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: 161633328
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: 161633329
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: 161633324
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: SALZMAN ALAN E
CENTRAL INDEX KEY: 0001098349
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 161633323
MAIL ADDRESS:
STREET 1: C/O VANTAGEPOINT
STREET 2: 1001 BAY HILL DR #300
CITY: SAN BRUNO
STATE: CA
ZIP: 94066
4
1
edgar.xml
FORM 4 -
X0306
4
2016-05-05
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
2016-05-05
4
A
0
12573
0
A
69596
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 2016 Annual Meeting of Stockholders.
Includes 8,937 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 2015 Annual Meeting of Stockholders. As of the date of this report, 3,723 shares are vested and 5,214 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
2016-05-09
VantagePoint Venture Partners IV (Q), L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member
2016-05-09
VantagePoint Venture Partners IV, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member
2016-05-09
VantagePoint Venture Partners IV Principals Fund, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member
2016-05-09
VP New York Venture Partners, L.P., By: VantagePoint Venture Associates IV, L.L.C., By: Alan E. Salzman, Managing Member
2016-05-09
VantagePoint Management, Inc., By: Alan E. Salzman, Chief Executive Officer
2016-05-09
Alan E. Salzman
2016-05-09