0001444363-19-000032.txt : 20190318 0001444363-19-000032.hdr.sgml : 20190318 20190318174918 ACCESSION NUMBER: 0001444363-19-000032 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190314 FILED AS OF DATE: 20190318 DATE AS OF CHANGE: 20190318 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: 19689532 MAIL ADDRESS: STREET 1: 1001 BAYHILL DRIVE, SUITE 300 STREET 2: C/O VANTAGEPOINT VENTURE PARTNERS CITY: SAN BRUNO STATE: CA ZIP: 94066 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_155294574297819.xml FORM 4 X0306 4 2019-03-14 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001514367 Bevilacqua Thomas A C/O VANTAGEPOINT CAPITAL PARTNERS 1111 BAYHILL DRIVE, SUITE 220 SAN BRUNO CA 94066 1 0 0 0 Common Stock 2019-03-14 4 A 0 15290 0 A 109477 D Restricted stock units, which vest monthly over one year, beginning on the day immediately following the Company's 2019 Annual Meeting of Stockholders. Includes 12,500 restricted stock units, which vest monthly over one year, beginning on the day immediately after the Company's 2018 Annual Meeting of Stockholders. As of the date of this report, 8,328 shares are vested and 4,172 are unvested. 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. /s/ Thomas A. Bevilacqua 2019-03-18