UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (1) | 07/28/2020 | Common Stock | 30,000 (2) | $ 8.67 | D | Â |
Restricted Stock Unit | Â (3) | Â (3) | Common Stock | 25,000 (2) | $ 0 | D | Â |
Restricted Stock Unit | Â (4) | Â (4) | Common Stock | 10,000 (2) | $ 0 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LYONS HENRY C C/O GAIN CAPITAL HOLDINGS, INC. BEDMINSTER ONE135 ROUTE 202/206 BEDMINSTER NEW JERSEY, NJ 07921 |
 |  |  Chief Fin. Off and Treasurer |  |
/s/ Henry C. Lyons | 12/14/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This stock option 1/4 vests on each anniversary of the date of grant until fully vested. |
(2) | Each share of common stock underlying the stock option and restricted stock units will be adjusted to reflect a 2.29-for-1 stock split of our common stock immediately prior to the closing of the Issuer's initial public offering, subject to certain conditions. |
(3) | Such restricted stock units were granted on April 15, 2008 and vest ratably over four years, with one-fourth of the restricted stock units vesting on each of the first four anniversaries of the grant date. There is no expiration date for restricted stock units and vested shares will be delivered to the reporting person in 2014, subject to certain conditions. |
(4) | Such restricted stock units were granted on December 15, 2009 and vest ratably over four years on April 15th very year. There is no expiration date for restricted stock units and vested shares will be delivered to the reporting person in 2014, subject to certain conditions. |