0001444363-18-000134.txt : 20180807 0001444363-18-000134.hdr.sgml : 20180807 20180807161908 ACCESSION NUMBER: 0001444363-18-000134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180803 FILED AS OF DATE: 20180807 DATE AS OF CHANGE: 20180807 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOOR ALEX CENTRAL INDEX KEY: 0001204485 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18998353 MAIL ADDRESS: STREET 1: C/O INSTINENT GROUP INC STREET 2: 3 TIMES SQUARE CITY: NEW YORK STATE: NY ZIP: 10036 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 4 1 wf-form4_153367313265872.xml FORM 4 X0306 4 2018-08-03 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001204485 GOOR ALEX C/O GAIN CAPITAL HOLDINGS, INC. BEDMINSTER ONE, 135 US HWY 202/206 BEDMINSTER NJ 07921 1 0 0 0 Common Stock 2018-08-03 4 P 0 15000 6.9128 A 160911 D Common Stock 2018-08-06 4 P 0 15000 7.0018 A 175911 D Common Stock 2018-08-07 4 P 0 15000 7.1893 A 190911 D The shares were purchased pursuant to a plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.85 to $7.055, 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 purchased at each separate price within the range set forth in this footnote. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.93 to $7.06, 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 purchased at each separate price within the range set forth in this footnote. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.12 to $7.26, 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 purchased at each separate price within the range set forth in this footnote. /s/ Alex Goor 2018-08-07