0001444363-19-000038.txt : 20190318 0001444363-19-000038.hdr.sgml : 20190318 20190318175336 ACCESSION NUMBER: 0001444363-19-000038 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: Rotsztain Diego CENTRAL INDEX KEY: 0001511110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35008 FILM NUMBER: 19689552 MAIL ADDRESS: STREET 1: 135 US HIGHWAY 202/206, SUITE 11 CITY: BEDMINSTER STATE: NJ ZIP: 07921 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_155294597309473.xml FORM 4 X0306 4 2019-03-14 0 0001444363 GAIN Capital Holdings, Inc. GCAP 0001511110 Rotsztain Diego C/O GAIN CAPITAL HOLDINGS, INC. 135 U.S. RT. 202/206, SUITE 11 BEDMINSTER NJ 07921 0 1 0 0 General Counsel and Secretary Common Stock 2019-03-14 4 A 0 29051 0 A 149414 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/ Diego Rotsztain 2019-03-18