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