Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
GAIN Capital Holdings, Inc.
Report date May 24, 2020 · Filed August 04, 2020
Section 16 reporting ended · disclosed 2020-08-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 138,533 |
Reported balance
After 2020-07-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-07-31 · Disposition to issuer · Disposed 1,699,283 · Balance 138,533 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F2: Pursuant to the terms of the Merger Agreement, each share of Issuer common stock reported in Table I above was converted into the right to receive $6.00 in cash (the "Merger Consideration"). |
| Common StockSEC Table I · non-derivative | Direct | 21,000 |
Reported balance
After 2020-07-31 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-07-31 · Disposition to issuer · Disposed 117,533 · Balance 21,000 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F3: Disposed of pursuant to the terms of the Merger Agreement under which each restricted stock unit ("RSU") that is subject to time-based vesting was canceled in exchange for a cash payment representing a number of shares of common stock subject to such RSU, multiplied by the Merger Consideration. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2020-07-31 · Disposition to issuer · Disposed 21,000 · Balance 0 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F4: Disposed of pursuant to the terms of the Merger Agreement under which each performance-based RSU ("PRSU") for which the performance period has ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration. |
| Common StockSEC Table I · non-derivative | Direct | 19,103 |
Reported balance
After 2020-05-24 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2020-05-24 · Grant · Disposed 19,103 · Balance 19,103 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F5: On September 19, 2018, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs is scheduled to vest on the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 5
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 5 · 2020-07-31 · Disposition to issuer · Disposed 19,103 · Balance 0 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F6: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration. |
| Common StockSEC Table I · non-derivative | Direct | 129,969 |
Reported balance
After 2020-07-31 transaction · row 6
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 6 · 2020-07-31 · Grant · Acquired 129,969 · Balance 129,969 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F7: On March 14, 2019, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. Pursuant to the Merger Agreement, such PRSUs for which the performance period has not ended were vested at target performance as of the Merger. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-07-31 transaction · row 7
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 7 · 2020-07-31 · Disposition to issuer · Disposed 129,969 · Balance 0 F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F8: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period has not ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on target performance, multiplied by the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement").
F2: Pursuant to the terms of the Merger Agreement, each share of Issuer common stock reported in Table I above was converted into the right to receive $6.00 in cash (the "Merger Consideration").
F3: Disposed of pursuant to the terms of the Merger Agreement under which each restricted stock unit ("RSU") that is subject to time-based vesting was canceled in exchange for a cash payment representing a number of shares of common stock subject to such RSU, multiplied by the Merger Consideration.
F4: Disposed of pursuant to the terms of the Merger Agreement under which each performance-based RSU ("PRSU") for which the performance period has ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration.
F5: On September 19, 2018, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs is scheduled to vest on the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date.
F6: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration.
F7: On March 14, 2019, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. Pursuant to the Merger Agreement, such PRSUs for which the performance period has not ended were vested at target performance as of the Merger.
F8: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period has not ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on target performance, multiplied by the Merger Consideration.
StoneX Group Inc.
Report date February 18, 2025 · Filed February 20, 2025
Section 16 reporting ended · disclosed 2025-02-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,964 |
Reported balance
After 2025-02-18 transaction · row 1
1 source rowRow 1 · 2025-02-18 · Sale · Disposed 15,000 · Balance 77,964 F1: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares sold at each separate price. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares sold at each separate price.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 18, 2025 Filed Feb 20, 2025 21:42 UTC | StoneX Group Inc. SNEX · Entity 3627 | SaleCommon Stock | 15,000 | $117.82 | $1,767,295.50 |
DisclosureSEC source: 0000913760-25-000031 · wk-form4_1740087726.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Retired Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 77,964 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 14, 2024 Filed Jun 18, 2024 20:27 UTC | StoneX Group Inc. SNEX · Entity 3627 | GiftCommon Stock | 700 | $0.00 | $0.00 |
DisclosureSEC source: 0000913760-24-000118 · wk-form4_1718742416.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,964 Read SEC document |
| December 15, 2023 Filed Dec 19, 2023 21:55 UTC | StoneX Group Inc. SNEX · Entity 3627 | GrantRestricted Shares of Common Stock | 15,363 | $0.00 | $0.00 |
DisclosureSEC source: 0000913760-23-000202 · wk-form4_1703022936.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,664 F1 · security: Shares issued pursuant to the terms of the Company's Executive Performance Plan. Shares vest equally on anniversary in years one, two and three. Read SEC document |
| May 09, 2023 Filed May 11, 2023 21:30 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 3,000 | $84.18 | $252,529.80 |
DisclosureSEC source: 0000913760-23-000079 · wf-form4_168384059802805.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 52,201 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| February 17, 2023 Filed Feb 22, 2023 22:25 UTC | StoneX Group Inc. SNEX · Entity 3627 | GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000913760-23-000035 · wf-form4_167710471390220.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,201 F1 · security: Gift to a charitable foundation. Read SEC document |
| December 15, 2022 Filed Dec 19, 2022 22:32 UTC | StoneX Group Inc. SNEX · Entity 3627 | GrantRestricted Shares of Common Stock | 13,434 | $0.00 | $0.00 |
DisclosureSEC source: 0000913760-22-000200 · wf-form4_167148911261013.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,201 F1 · security: Shares issued pursuant to the terms of the Company's Executive Performance Plan. Shares vest equally on anniversary in years one, two and three. Read SEC document |
| March 09, 2022 Filed Mar 10, 2022 21:21 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 2,500 | $70.83 | $177,068.75 |
DisclosureSEC source: 0000913760-22-000060 · wf-form4_164694722916038.xml · nonDerivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,767 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| March 08, 2022 Filed Mar 10, 2022 21:21 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 2,500 | $69.45 | $173,621.50 |
DisclosureSEC source: 0000913760-22-000060 · wf-form4_164694722916038.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,267 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| December 20, 2021 Filed Dec 22, 2021 21:33 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 1,500 | $57.48 | $86,216.85 |
DisclosureSEC source: 0000913760-21-000238 · wf-form4_164020881911914.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,767 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 22:19 UTC | StoneX Group Inc. SNEX · Entity 3627 | GrantStock Options · Derivative | 40,000 | $62.04 Strike: $62.04 | $2,481,600.00 |
DisclosureSEC source: 0000913760-21-000232 · wf-form4_163977953114456.xml · derivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-12-05 F2 · security: The option grant was approved by the Company's Board of Directors on December 15, 2021. F3 · derivative.exercise_price: The strike price of the grant was set by the Company's Board of Directors as the closing price on December 14, 2021. F4 · derivative.exercise_date: The options vest in equal tranches on each of the first, second, third and fourth anniversaries of the Exercisable Date. The Exercisable Date and Expiration Date were set by the Company's Board of Directors to coincide with the same dates as stock options previously granted to additional members of the Company's senior executive management team. Read SEC document |
| December 15, 2021 Filed Dec 17, 2021 22:19 UTC | StoneX Group Inc. SNEX · Entity 3627 | GrantRestricted Shares of Common Stock | 6,267 | $0.00 | $0.00 |
DisclosureSEC source: 0000913760-21-000232 · wf-form4_163977953114456.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,267 F1 · security: Shares issued pursuant to the terms of the Company's Executive Performance Plan. Shares vest equally on anniversary in years one, two and three. Read SEC document |
| December 10, 2021 Filed Dec 14, 2021 21:53 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 2,500 | $59.92 | $149,789.00 |
DisclosureSEC source: 0000913760-21-000209 · wf-form4_163951878101835.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 21:23 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 2,500 | $64.02 | $160,051.50 |
DisclosureSEC source: 0000913760-21-000197 · wf-form4_163899860928080.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares bought at each separate price. Read SEC document |
| March 15, 2021 Filed Mar 16, 2021 21:54 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 5,000 | $63.45 | $317,236.50 |
DisclosureSEC source: 0000913760-21-000052 · wf-form4_161593167427753.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Head-Retail & Foreign Exchange 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The price reported represents an average price. The Reporting Person will provide to the Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased at each separate price. Read SEC document |
| December 16, 2020 Filed Dec 16, 2020 23:17 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 3,000 | $53.19 | $159,570.00 |
DisclosureSEC source: 0000913760-20-000228 · wf-form4_160816062914387.xml · nonDerivative · entry 3 Stevens Glenn Henry · CIK 0001472938 · CEO - subsidiary entity 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| December 15, 2020 Filed Dec 16, 2020 23:17 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 6,000 | $52.44 | $314,640.00 |
DisclosureSEC source: 0000913760-20-000228 · wf-form4_160816062914387.xml · nonDerivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · CEO - subsidiary entity 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 23:17 UTC | StoneX Group Inc. SNEX · Entity 3627 | PurchaseCommon Stock | 6,000 | $50.79 | $304,740.00 |
DisclosureSEC source: 0000913760-20-000228 · wf-form4_160816062914387.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · CEO - subsidiary entity 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Disposition to issuerCommon Stock | 129,969 | $6.00 | $779,814.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 7 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F8 · kind: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period has not ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on target performance, multiplied by the Merger Consideration. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 129,969 | $6.00 | $779,814.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 6 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,969 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F7 · kind: On March 14, 2019, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. Pursuant to the Merger Agreement, such PRSUs for which the performance period has not ended were vested at target performance as of the Merger. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Disposition to issuerCommon Stock | 19,103 | $6.00 | $114,618.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 5 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F6 · kind: Disposed of pursuant to the terms of the Merger Agreement under which each PRSU for which the performance period ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Disposition to issuerCommon Stock | 21,000 | $6.00 | $126,000.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 3 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F4 · kind: Disposed of pursuant to the terms of the Merger Agreement under which each performance-based RSU ("PRSU") for which the performance period has ended was canceled in exchange for a cash payment representing a number of shares of common stock subject to such PRSU determined based on actual performance during the performance period, multiplied by the Merger Consideration. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Disposition to issuerCommon Stock | 117,533 | $6.00 | $705,198.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F3 · kind: Disposed of pursuant to the terms of the Merger Agreement under which each restricted stock unit ("RSU") that is subject to time-based vesting was canceled in exchange for a cash payment representing a number of shares of common stock subject to such RSU, multiplied by the Merger Consideration. Read SEC document |
| July 31, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Disposition to issuerCommon Stock | 1,699,283 | $6.00 | $10,195,698.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,533 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F2 · kind: Pursuant to the terms of the Merger Agreement, each share of Issuer common stock reported in Table I above was converted into the right to receive $6.00 in cash (the "Merger Consideration"). Read SEC document |
| May 24, 2020 Filed May 27, 2020 16:55 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 60,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001444363-20-000044 · wf-form4_159061293885861.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,837,816 F1 · security: As previously disclosed, on May 24, 2018, the reporting person received a compensatory grant of performance-based RSUs ("PRSUs") whose vesting was dependent on the issuer's operating performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs vested as of the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date. Read SEC document |
| May 24, 2020 Filed Aug 4, 2020 17:49 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 19,103 | $6.00 | $114,618.00 |
DisclosureSEC source: 0000950103-20-015255 · dp133844_4-stevens.xml · nonDerivative · entry 4 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,103 F1 · security: On July 31, 2020, Gain Capital holdings, Inc. (the "Issuer") and StoneX Group Inc. (f/k/a INTL FCStone Inc.) completed the merger (the "Merger") contemplated by the Agreement and Plan of Merger among the parties thereto, dated as of February 26, 2020 (the "Merger Agreement"). F5 · kind: On September 19, 2018, the reporting person received a compensatory grant of PRSUs for which vesting was dependent on the Issuer's performance. The level of achievement against this operational goal was determined by the Compensation Committee of the Board of Directors, and 65% of the PRSUs is scheduled to vest on the second anniversary of the grant date. The remaining 35% of the PRSUs is scheduled to vest on the third anniversary of the grant date. Read SEC document |
| May 29, 2019 Filed May 31, 2019 17:14 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Exercise / conversionStock Option (Right to Buy) · Derivative | 58,743 | $3.83 Strike: $3.83 | $224,985.69 |
DisclosureSEC source: 0001444363-19-000079 · wf-form4_155933727774263.xml · derivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 58,743 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Such stock options were granted on July 28, 2010 and vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date. The options have term of ten years. F2 · derivative.expiration_date: Such stock options were granted on July 28, 2010 and vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date. The options have term of ten years. Read SEC document |
| May 29, 2019 Filed May 31, 2019 17:14 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Exercise / conversionCommon Stock | 58,743 | $3.83 | $224,985.69 |
DisclosureSEC source: 0001444363-19-000079 · wf-form4_155933727774263.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,777,816 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Reflects shares acquired upon exercise of stock options listed in Table II below. Read SEC document |
| March 14, 2019 Filed Mar 18, 2019 17:54 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 76,452 | $0.00 | $0.00 |
DisclosureSEC source: 0001444363-19-000039 · wf-form4_155294604018172.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,719,073 F1 · security: 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. Read SEC document |
| December 18, 2018 Filed Feb 14, 2019 17:16 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GiftCommon Stock | 13,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001444363-19-000010 · wf-form5_155018256059761.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,642,621 F1 · price: The transaction reported was a bona fide gift made by the reporting person. The average price of the issuer's shares on the date of the gift was $7.285. Read SEC document |
| May 30, 2018 Filed Jun 1, 2018 20:40 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | SaleCommon Stock | 9,913 | $7.97 | $79,006.61 |
DisclosureSEC source: 0001444363-18-000103 · wf-form4_152789999351466.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,656,121 F1 · security: The shares were sold in a private transaction, the proceeds of which will be used to satisfy tax withholding obligations relating to the vesting of previously reported restricted stock units. F2 · price: The sale price is equal to the closing price of GCAP's common stock on May 25, 2018, which price was used to calculate the reporting person's tax withholding obligations. Read SEC document |
| May 24, 2018 Filed May 29, 2018 17:46 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 75,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001444363-18-000085 · wf-form4_152763034249157.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,666,034 F1 · security: 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. Read SEC document |
| May 07, 2018 Filed May 9, 2018 17:11 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | SaleCommon Stock | 21,473 | $8.22 | $176,525.24 |
DisclosureSEC source: 0001444363-18-000058 · wf-form4_152590028797539.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,591,034 F1 · security: 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. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.19 to $8.25, 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. Read SEC document |
| March 16, 2018 Filed Mar 20, 2018 17:23 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | SaleCommon Stock | 19,543 | $7.19 | $140,488.76 |
DisclosureSEC source: 0001444363-18-000032 · wf-form4_152158096954180.xml · nonDerivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,612,507 F1 · security: 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. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.17 to $7.25, 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. Read SEC document |
| March 06, 2018 Filed Mar 20, 2018 17:23 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | SaleCommon Stock | 5,350 | $7.41 | $39,653.13 |
DisclosureSEC source: 0001444363-18-000032 · wf-form4_152158096954180.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,632,050 F1 · security: 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. Read SEC document |
| December 04, 2017 Filed Feb 14, 2018 08:21 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GiftCommon Stock | 12,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001444363-18-000013 · wf-form5_151861446590545.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,637,400 F1 · price: Transaction reported was a bona fide gift made by the reporting person. The average price of the issuer's shares on the date of the grant was $7.94. Read SEC document |
| May 22, 2017 Filed May 23, 2017 15:28 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Exercise / conversionStock Option (Right to Buy) · Derivative | 40,000 | $3.83 Strike: $3.83 | $153,200.00 |
DisclosureSEC source: 0001444363-17-000065 · wf-form4_149556769263804.xml · derivative · entry 2 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,743 Underlying: Common Stock · 40,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Such stock options were granted on July 28, 2010 and vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date. The options have term of ten years. F2 · derivative.expiration_date: Such stock options were granted on July 28, 2010 and vested ratably over four years, with one-fourth of the options vesting on each of the first four anniversaries of the grant date. The options have term of ten years. Read SEC document |
| May 22, 2017 Filed May 23, 2017 15:28 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | Exercise / conversionCommon Stock | 40,000 | $3.83 | $153,200.00 |
DisclosureSEC source: 0001444363-17-000065 · wf-form4_149556769263804.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,649,900 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: Reflects shares acquired upon exercise of stock options listed in Table II below. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 16:24 UTC | GAIN Capital Holdings, Inc. GCAP · Entity 147418 | GrantCommon Stock | 163,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001444363-17-000033 · wf-form4_148978225858950.xml · nonDerivative · entry 1 Stevens Glenn Henry · CIK 0001472938 · Director · President, CEO & Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,609,900 F1 · security: Restricted stock units, which vest at a rate of 25% annually over four years commencing on the first anniversary of the date of grant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.