4//SEC Filing
VANTAGEPOINT VENTURE PARTNERS IV PRINCIPALS FUND LP 4
Accession 0001209191-10-062296
CIK 0001444363other
Filed
Dec 21, 7:00 PM ET
Accepted
Dec 22, 6:26 PM ET
Size
44.0 KB
Accession
0001209191-10-062296
Insider Transaction Report
Form 4
Transactions
- Conversion
Common Stock
2010-12-20+5,334,402→ 5,334,402 total - Conversion
Common Stock
2010-12-20+124,389→ 124,389 total - Conversion
Common Stock
2010-12-20+4,527→ 4,527 total - Conversion
Series D Preferred Stock
2010-12-20−236,159→ 0 total→ Common Stock (534,028 underlying) - Conversion
Series E Preferred Stock
2010-12-20−32,393→ 0 total→ Common Stock (124,389 underlying) - Conversion
Series D Preferred Stock
2010-12-20−8,592→ 0 total→ Common Stock (19,429 underlying) - Conversion
Series D Preferred Stock
2010-12-20−650,936→ 0 total→ Common Stock (1,471,966 underlying) - Conversion
Common Stock
2010-12-20+1,471,966→ 1,471,966 total - Conversion
Common Stock
2010-12-20+342,858→ 342,858 total - Conversion
Series D Preferred Stock
2010-12-20−2,358,991→ 0 total→ Common Stock (5,334,402 underlying) - Conversion
Series E Preferred Stock
2010-12-20−323,570→ 0 total→ Common Stock (1,242,509 underlying) - Conversion
Series E Preferred Stock
2010-12-20−1,179→ 0 total→ Common Stock (4,527 underlying) - Conversion
Series E Preferred Stock
2010-12-20−89,286→ 0 total→ Common Stock (342,858 underlying) - Conversion
Common Stock
2010-12-20+1,242,509→ 1,242,509 total - Conversion
Common Stock
2010-12-20+534,028→ 534,028 total - Conversion
Common Stock
2010-12-20+19,429→ 19,429 total
Footnotes (6)
- [F1]Each share of Series D Preferred Stock and Series E Preferred Stock automatically converted into common stock, and reflects the stock split, certain indemnification obligations triggered by the adjustment to the Series E Preferred Stock conversion price, and all other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of Issuer's initial public offering of common stock.
- [F2]These securities are directly held by VantagePoint Venture Partners IV (Q), L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV (Q), L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group.
- [F3]These securities are directly held by VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group.
- [F4]These securities are directly held by VantagePoint Venture Partners IV Principals Fund, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VantagePoint Venture Partners IV Principals Fund L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer, but do not affirm the existence of any such group.
- [F5]These securities are directly held by VP New York Venture Partners, L.P. VantagePoint Venture Associates IV, L.L.C. is the general partner of VP New York Venture Partners, L.P. VantagePoint Venture Associates IV, L.L.C. disclaims beneficial ownership of such securities except to the extent of its pecuniary interest in such securities. Alan E. Salzman, through his authority to cause the general partner of the limited partnership that directly holds such securities to act, may be deemed to have voting and investment power with respect to such securities. Mr. Salzman disclaims beneficial ownership of such securities except to the extent of his pecuniary interest in such securities. The Reporting Persons may be deemed to be acting as a group in relation to their respective holdings in the Issuer but do not affirm the existence of any such group.
- [F6]The Series D Preferred Stock and Series E Preferred Stock have no expiration date.
Documents
Issuer
GAIN Capital Holdings, Inc.
CIK 0001444363
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001267585
Filing Metadata
- Form type
- 4
- Filed
- Dec 21, 7:00 PM ET
- Accepted
- Dec 22, 6:26 PM ET
- Size
- 44.0 KB