0000899243-18-007249.txt : 20180313
0000899243-18-007249.hdr.sgml : 20180313
20180313160532
ACCESSION NUMBER: 0000899243-18-007249
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180309
FILED AS OF DATE: 20180313
DATE AS OF CHANGE: 20180313
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FOX & TROT LTD
CENTRAL INDEX KEY: 0001665705
STATE OF INCORPORATION: X0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 18686505
BUSINESS ADDRESS:
STREET 1: CITYPOINT LEVEL 28, ONE ROPEMAKER STREET
CITY: LONDON
STATE: X0
ZIP: EC2Y 9AW
BUSINESS PHONE: 442074480360
MAIL ADDRESS:
STREET 1: CITYPOINT LEVEL 28, ONE ROPEMAKER STREET
CITY: LONDON
STATE: X0
ZIP: EC2Y 9AW
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: IPGL Ltd
CENTRAL INDEX KEY: 0001707089
STATE OF INCORPORATION: X0
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 18686506
BUSINESS ADDRESS:
STREET 1: CITYPOINT LEVEL 28, ONE ROPEMAKER ST.
CITY: LONDON
STATE: X0
ZIP: EC2Y 9AW
BUSINESS PHONE: 442074480360
MAIL ADDRESS:
STREET 1: CITYPOINT LEVEL 28, ONE ROPEMAKER ST.
CITY: LONDON
STATE: X0
ZIP: EC2Y 9AW
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-03-09
0
0001444363
GAIN Capital Holdings, Inc.
GCAP
0001707089
IPGL Ltd
CITYPOINT LEVEL 28
ONE ROPEMAKER STREET
LONDON
X0
EC2Y 9AW
UNITED KINGDOM
0
0
1
0
0001665705
FOX & TROT LTD
CITYPOINT LEVEL 28
ONE ROPEMAKER STREET
LONDON
X0
EC2Y 9AW
UNITED KINGDOM
0
0
1
0
Common Stock, par value $0.00001 per share
2018-03-09
4
P
0
69647
6.98
A
922678
D
Common Stock, par value $0.00001 per share
4629950
I
See Footnotes
The 922,678 shares of common stock are held of record by IPGL Limited ("IPGL"). David Jeremy Courtenay-Stamp, David Gelber, Mark William Lane Richards and Michael Alan Spencer are the directors of IPGL, and have the power, acting by majority vote, to vote or dispose of shares directly held by IPGL. Messrs. Courtenay-Stamp, Gelber, Richards and Spencer each hereby disclaims any beneficial ownership of any shares directly or indirectly held by IPGL, except to the extent of their pecuniary interest therein.
The 4,629,950 shares of common stock are held of record by Fox & Trot Limited ("F&T"). IPGL, the 100% owner of F&T, may be deemed to beneficially own the reported shares. Frederick Morton, Mark William Lane Richards and Tom Scarborough are the directors of F&T, and act at the direction of the directors of IPGL to vote or dispose of shares directly held by F&T, except in certain limited circumstances where they have the power, acting by majority vote, to vote or dispose of shares directly held by F&T. Messrs. Morton, Richards and Scarborough each hereby disclaims any beneficial ownership of any shares directly held by F&T, except to the extent of their pecuniary interest therein.
IPGL Limited, by /s/ Mark William Lane Richards, its director and chief executive officer
2018-03-13
Fox & Trot Limited, by /s/ Mark William Lane Richards, its director
2018-03-13