0001444363-15-000111.txt : 20150608
0001444363-15-000111.hdr.sgml : 20150608
20150608154906
ACCESSION NUMBER: 0001444363-15-000111
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: Bevilacqua Thomas A
CENTRAL INDEX KEY: 0001514367
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 15918412
MAIL ADDRESS:
STREET 1: 1001 BAYHILL DRIVE, SUITE 300
STREET 2: C/O VANTAGEPOINT VENTURE PARTNERS
CITY: SAN BRUNO
STATE: CA
ZIP: 94066
4
1
wf-form4_143379293603059.xml
FORM 4
X0306
4
2014-03-05
0
0001444363
GAIN Capital Holdings, Inc.
GCAP
0001514367
Bevilacqua Thomas A
C/O VANTAGEPOINT CAPITAL PARTNERS
1001 BAYHILL DRIVE, SUITE 300
SAN BRUNO
CA
1
0
0
0
Common Stock
2014-03-05
4
A
0
7537
0
A
48086
D
Common Stock
2015-05-26
4
A
0
8937
0
A
57023
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.
Mr. Bevilacqua, one of the issuer's directors, is a managing director of VantagePoint Capital Partners. VantagePoint Management, Inc. has voting and investment control over these shares. Mr. Bevilacqua disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
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.
/s/ Thomas A. Bevilacqua
2015-06-05