UNITED STATES
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
Date
of Report (Date of Earliest Event Reported): April 8, 2011
GAIN CAPITAL HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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001-35008
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20-4568600 |
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(State of Incorporation)
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(Commission File No.)
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(IRS Employer ID No.) |
Bedminster One
135 Route 202/206
Bedminster, New Jersey 07921
(Address of Principal Executive Offices)
(908) 731-0700
Registrants Telephone Number, Including Area Code:
(Former name or former address, if changed since last report)
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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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.