GAIN Capital Holdings, Inc. Contracts & Agreements

142 Contracts & Agreements
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Filed
Form of CEO Restricted Stock Unit Grant (Time Based)
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2018
Supplemental Indenture
Indenture Agreements
GAIN Capital Holdings, Inc.
2020
Description of Securities
GAIN Capital Holdings, Inc.
Capital Markets
2020
Executive Employment Agreement, dated October 22, 2018, by and between GAIN Capital Holdings, Inc. and Glenn Stevens
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2020
Executive Employment Agreement, dated February 5, 2019, by and between GAIN Capital Holdings, Inc. and Samantha Roady
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2020
Executive Employment Agreement, dated February 4, 2019, by and between GAIN Capital Holdings, Inc. and Diego Rotsztain
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2020
Agreement and Plan of Merger by and among GAIN Capital Holdings, Inc., INTL FCStone Inc. and Golf Merger Sub I Inc., dated as of February 26, 2020
Merger Agreements
GAIN Capital Holdings, Inc.
2020
Amendment No. 3 to Rights Agreement by and between GAIN Capital Holdings, Inc. and Broadridge Corporate Issuer Solutions, Inc., dated as of February 26, 2020
GAIN Capital Holdings, Inc.
Capital Markets
2020
Fourth Waiver and Amendment to the Credit Agreement, dated as of August 8, 2019, between GAIN Capital Holdings, Inc. as Borrower and Barclays Bank PLC, Sterling National Bank,...
Credit Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2019
Amendment No. 2 to the Rights Agreement, dated as of April 8, 2019, between GAIN Capital Holdings, Inc. and Broadridge Corporate Issuer Solutions, Inc., as Rights Agent
GAIN Capital Holdings, Inc.
Capital Markets
DE
2019
Executive Employment Agreement, dated October 22, 2018, by and between GAIN Capital Holdings, Inc. and Glenn Stevens
Employment Agreements
GAIN Capital Holdings, Inc.
2019
Executive Employment Agreement, dated February 5, 2019, by and between GAIN Capital Holdings, Inc. and Samantha Roady
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2019
Executive Employment Agreement, dated February 4, 2019, by and between GAIN Capital Holdings, Inc. and Diego Rotsztain
Employment Agreements
GAIN Capital Holdings, Inc.
2019
Form of CEO Restricted Stock Unit Grant (Performance Based)
Bonus & Incentive Agreements
GAIN Capital Holdings, Inc.
2018
Form of Executive Restricted Stock Unit Grant (Performance Based)
Bonus & Incentive Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2018
Form of Executive Restricted Stock Unit Grant (Time Based)
Stock Agreements
GAIN Capital Holdings, Inc.
2018
Form of Employee Restricted Stock Unit Grant (Performance Based)
Bonus & Incentive Agreements
GAIN Capital Holdings, Inc.
2018
Form of Employee Restricted Stock Unit Grant (Time Based)
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2018
Asset Purchase Agreement, dated as of May 29, 2018, between 360tGTX Inc. and GAIN Capital Holdings, Inc
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2018
EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2018
GAINCAPITAL HOLDINGS, INC. AS ISSUER 5.00%CONVERTIBLE SENIOR NOTES DUE 2022 _____________________ INDENTURE DATEDAS OF AUGUST 22, 2017 _____________________ THEBANK OF NEW YORK...
Indenture Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
CREDIT AGREEMENT dated as of August 2, 2017 between GAIN CAPITAL HOLDINGS, INC., as Borrower The LENDERS Party Hereto, and BARCLAYS BANK PLC, as Administrative Agent, Collateral...
Credit Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
ASSET PURCHASE AGREEMENT dated as of February 7, 2017 between GAIN CAPITAL GROUP, LLC, and FOREX CAPITAL MARKETS L.L.C. ASSET PURCHASE AGREEMENT
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2017
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2017
AMENDMENT NO. 1 TO THE RIGHTS AGREEMENT
GAIN Capital Holdings, Inc.
Capital Markets
DE
2016
CITY INDEX LIMITED and NIGEL ROSE SERVICE AGREEMENT
Services Agreements
GAIN Capital Holdings, Inc.
2016
SEPARATION AND RELEASE AGREEMENT
Separation Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2016
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2015
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
2015
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
2015
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2015
ASSET PURCHASE AGREEMENT dated as of July 10, 2014 among GAIN GTX BERMUDA, LTD., GAIN CAPITAL HOLDINGS, INC. and FOREXSTER LIMITED TABLE OF CONTENTS
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
ASSET PURCHASE AGREEMENT dated as of July 10, 2014 between GAIN GTX BERMUDA, LTD., GAIN CAPITAL HOLDINGS, INC. and VALAQUENTA INTELLECTUAL PROPERTIES LIMITED TABLE OF CONTENTS
Purchase Agreements
GAIN Capital Holdings, Inc.
2014
MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among GAIN CAPITAL HOLDINGS, INC. (BUYER), GLOBAL ASSET ADVISORS, LLC (COMPANY), LUCKY GOOD DOG, L.L.C. and GLENN A. SWANSON...
Purchase Agreements
GAIN Capital Holdings, Inc.
2014
MEMBERSHIP INTEREST PURCHASE AGREEMENT by and among GAIN CAPITAL HOLDINGS, INC. (BUYER), TOP THIRD AG MARKETING LLC (COMPANY), GLOBAL ASSET ADVISORS, LLC (GAA), and MARK GOLD,...
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2014
[Signature page follows.] [Signature page to Letter Agreement]
GAIN Capital Holdings, Inc.
2014
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2014
GAIN CAPITAL HOLDINGS, INC. AS ISSUER 4.125% CONVERTIBLE SENIOR NOTES DUE 2018 INDENTURE DATED AS OF NOVEMBER 27, 2013 THE BANK OF NEW YORK MELLON AS TRUSTEE TABLE OF CONTENTS
Indenture Agreements
GAIN Capital Holdings, Inc.
2013
AMENDED AND RESTATED STOCKHOLDERS AGREEMENT dated as of September 24, 2013 among GAIN CAPITAL HOLDINGS, INC. and GARY L. TILKIN TABLE OF CONTENTS
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
LOAN AND SECURITY AGREEMENT
Loan Agreements
GAIN Capital Holdings, Inc.
2013
AMENDED AND RESTATED STOCK PURCHASE AGREEMENT dated as of September 24, 2013 among GAIN CAPITAL HOLDINGS, INC., GARY L. TILKIN and GLOBAL FUTURES & FOREX, LTD. relating to the...
Purchase Agreements
GAIN Capital Holdings, Inc.
Capital Markets
MI
2013
STOCK PURCHASE AGREEMENT dated as of April 24, 2013 among GAIN CAPITAL HOLDINGS, INC., GARY L. TILKIN and GLOBAL FUTURES & FOREX, LTD. relating to the purchase and sale of 100% of...
Purchase Agreements
GAIN Capital Holdings, Inc.
2013
STOCKHOLDERS AGREEMENT dated as of April 24, 2013 among GAIN CAPITAL HOLDINGS, INC. and GARY L. TILKIN TABLE OF CONTENTS
GAIN Capital Holdings, Inc.
2013
RIGHTS AGREEMENT dated as of April 9, 2013 between GAINCAPITAL HOLDINGS, INC. and BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC. as Rights Agent TABLE OF CONTENTS
Registration Rights Agreements
GAIN Capital Holdings, Inc.
2013
STOCK PURCHASE AGREEMENT between OPTIONSXPRESS HOLDINGS, INC. and GAIN CAPITAL GROUP, LLC dated as of June 27, 2012 TABLE OF CONTENTS
Stock Agreements
GAIN Capital Holdings, Inc.
Capital Markets
DE
2012
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
2012
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
2012
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2012
EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2012
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GAIN Capital Holdings, Inc.
2012
AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT
Loan Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NY
2011
FIRST AMENDMENT TO UNCONDITIONAL GUARANTY
Guaranty Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2011
ASSET PURCHASE AGREEMENT
Purchase Agreements
GAIN Capital Holdings, Inc.
2011
GAIN CAPITAL GROUP, LLC NONQUALIFIED DEFERRED COMPENSATIONPLAN MASTER PLAN DOCUMENT NONQUALIFIED DEFERRED COMPENSATION PLAN MASTER PLAN DOCUMENT
Compensation Agreements
GAIN Capital Holdings, Inc.
2011
SEVENTH LOAN MODIFICATION AGREEMENT
Loan Agreements
GAIN Capital Holdings, Inc.
Capital Markets
2011
GAIN Capital Holdings, Inc. Bedminster One 135 Route 202/206 Bedminster, New Jersey 07921 Attention: Chief Executive Officer
GAIN Capital Holdings, Inc.
2011
AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
2011
EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2011
AMENDED AND RESTATED EXECUTIVE EMPLOYMENT AGREEMENT
Employment Agreements
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2011
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NY
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
DE
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
DE
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NY
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NY
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
DE
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
FL
2009
SEC registration fee
GAIN Capital Holdings, Inc.
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
CA
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
CA
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2010
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NY
2010
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
SEC registration fee
GAIN Capital Holdings, Inc.
Capital Markets
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
DE
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
NJ
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2009
increasing recognition of currency trading as an alternative investment and as a tool for portfolio diversification by retail traders, authorized traders and investment...
GAIN Capital Holdings, Inc.
Capital Markets
2009