0001444363-17-000104.txt : 20171005 0001444363-17-000104.hdr.sgml : 20171005 20171005190710 ACCESSION NUMBER: 0001444363-17-000104 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171003 FILED AS OF DATE: 20171005 DATE AS OF CHANGE: 20171005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sugden Chris CENTRAL INDEX KEY: 0001472449 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 171125532 MAIL ADDRESS: STREET 1: 1009 LENOX DRIVE, # 4 CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 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_150724481644968.xml FORM 4 X0306 4 2017-10-03 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001472449 Sugden Chris C/O GAIN CAPITAL HOLDINGS, INC. 135 U.S. RT. 202/206, SUITE 11 BEDMINSTER NJ 07921 1 0 0 0 Common Stock 2017-10-03 4 A 0 5067 0 A 130650 D Restricted stock units issued to the reporting person as compensation for service as a non-executive director of the issuer. 25% of the RSUs granted will vest on October 8, 2017, with the remainder vesting in nine equal monthly installments commencing on November 8, 2017. /s/ Christopher S. Sugden 2017-10-05