0001444363-20-000021.txt : 20200320
0001444363-20-000021.hdr.sgml : 20200320
20200320113150
ACCESSION NUMBER: 0001444363-20-000021
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200318
FILED AS OF DATE: 20200320
DATE AS OF CHANGE: 20200320
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rose Nigel
CENTRAL INDEX KEY: 0001656645
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35008
FILM NUMBER: 20730935
MAIL ADDRESS:
STREET 1: 34TH FLOOR (GCG, 34-03)
STREET 2: 25 CANADA SQUARE
CITY: LONDON
STATE: X0
ZIP: E14 5LQ
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_158471829288175.xml
FORM 4
X0306
4
2020-03-18
0
0001444363
GAIN Capital Holdings, Inc.
GCAP
0001656645
Rose Nigel
135 US HWY 202/206
GAIN CAPITAL, BEDMINSTER ONE,
BEDMINSTER
NJ
07921
0
1
0
0
Chief Financial Officer
Common Stock
2020-03-18
4
S
0
5373
4.7321
D
95724
D
The shares were sold to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units. The sales were made pursuant to a sales plan that complies with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.55 to $4.93, inclusive. The reporting person undertakes to provide to GAIN Capital Holdings, Inc., any security holder of GAIN Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Nigel Rose
2020-03-20