0001444363-16-000289.txt : 20161110 0001444363-16-000289.hdr.sgml : 20161110 20161110190652 ACCESSION NUMBER: 0001444363-16-000289 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161109 FILED AS OF DATE: 20161110 DATE AS OF CHANGE: 20161110 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: SCHENK JOSEPH A CENTRAL INDEX KEY: 0001230923 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 161989672 MAIL ADDRESS: STREET 1: C/O JEFFERIES & COMPANY, INC. STREET 2: 520 MADISON AVE. 12TH FL. CITY: NEW YORK STATE: NY ZIP: 10022 4 1 wf-form4_147882280033171.xml FORM 4 X0306 4 2016-11-09 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001230923 SCHENK JOSEPH A C/O GAIN CAPITAL HOLDINGS, INC. BEDMINSTER ONE, 135 US HWY. 202/206 BEDMINSTER NJ 07921 1 0 0 0 Common Stock 2016-11-09 4 P 0 10000 5.4097 A 87619 D The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.35 to $5.44, 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. /s/ Joseph A. Schenk 2016-11-10