UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date
of Report (Date of Earliest Event Reported): April 8, 2011
GAIN CAPITAL HOLDINGS, INC.
Delaware | 001-35008 | 20-4568600 | ||
(State of Incorporation) | (Commission File No.) | (IRS Employer ID No.) |
Bedminster One
135 Route 202/206
Bedminster, New Jersey 07921
(Address of Principal Executive Offices)
135 Route 202/206
Bedminster, New Jersey 07921
(Address of Principal Executive Offices)
(908) 731-0700
Registrants Telephone Number, Including Area Code:
Registrants Telephone Number, Including Area Code:
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy
the filing obligation of the registrant under any of the following provisions (see General
Instruction A.2. below):
o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 8.01. | Other Events. |
As previously disclosed in GAIN Capital Holdings, Inc.s (the Company) Registration Statement on
Form S-1 (file no. 333-161632), as amended, which was declared effective by the Securities Exchange
Commission on December 14, 2010, TradeStation Securities, Inc. (TradeStation), the Companys
largest introducing broker, has formed a wholly-owned subsidiary, TradeStation Forex, Inc., to
assume, own and conduct all of TradeStations forex brokerage business. In January 2011,
TradeStation Forex, Inc. became a registered retail foreign exchange dealer with the Commodity
Futures Trading Commission and became a member of the National Futures Association. As a result,
on April 8, 2011, in accordance with the Companys Introducing Broker Agreement with
TradeStation, as amended, a bulk assignment of the Companys TradeStation-introduced customers, and related customer
assets, to TradeStation Forex, Inc. was completed.
For the year ended December 31, 2010, TradeStation-introduced customers represented 6.6% of the Companys total retail trading volume.
Customer assets represented by customers introduced
to the Company by TradeStation were $31.7 million, or 12.7% of total
customer assets, as of December 31, 2010.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
GAIN CAPITAL HOLDINGS, INC. |
||||
Dated: April 14, 2011 | By: | /s/ Henry Lyons | ||
Name: | Henry Lyons | |||
Title: | Chief Financial Officer and Treasurer | |||