0001444363-18-000085.txt : 20180529 0001444363-18-000085.hdr.sgml : 20180529 20180529174645 ACCESSION NUMBER: 0001444363-18-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180524 FILED AS OF DATE: 20180529 DATE AS OF CHANGE: 20180529 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stevens Glenn Henry CENTRAL INDEX KEY: 0001472938 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 18865802 MAIL ADDRESS: STREET 1: 550 HILLS DRIVE, SUITE 210 CITY: BEDMINSTER STATE: NJ ZIP: 07921 FORMER NAME: FORMER CONFORMED NAME: Stevens Glenn H DATE OF NAME CHANGE: 20090923 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_152763034249157.xml FORM 4 X0306 4 2018-05-24 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001472938 Stevens Glenn Henry 135 US HWY. 202/206 BEDMNISTER NJ 07921 1 1 0 0 President, CEO & Director Common Stock 2018-05-24 4 A 0 75000 0 A 1666034 D Compensatory grant of restricted stock units ("RSUs"), which vests in three equal annual installments commencing on the first anniversary of the date of grant. The reporting person also received a compensatory grant of performance-based RSUs whose vesting is dependent on the issuer's operating performance. The performance-based RSU grant shall be reported separately once the number of shares to be issued has been finally determined. /s/ Glenn Henry Stevens 2018-05-29