Form 8-K GAIN Capital Holdings, For: Jan 15
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E-mailUNITED 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
January 15, 2015
Date of Report (Date of earliest event reported)
GAIN CAPITAL HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
Delaware | 001-35008 | 20-4568600 | ||
(State of Incorporation) | (Commission File No.) | (IRS Employer Identification 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)
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):
p | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
p | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
p | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
p | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 7.01. Regulation FD Disclosure.
On January 15, 2015, GAIN Capital Holdings, Inc., a Delaware corporation (the Company ), issued a press release indicating that the Company did not expect recent actions by the Swiss National Bank to have a material adverse financial impact on the Company. The full text of the press release is attached to this current report on Form 8-K as Exhibit 99.1.*
Item�9.01. Financial Statements and Exhibits.
�
Exhibit No. | Description | |
99.1* | Press Release of GAIN Capital Holdings, Inc., dated January 15, 2015 | |
�
* | The information furnished in Item 7.01 of this Current Report on Form 8-K and on Exhibit 99.1 shall not be deemed filed for purposes of Section�18 of the Securities Exchange Act of 1934 (the Exchange Act ), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such a filing. |
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.
Dated: January 15, 2015
GAIN CAPITAL HOLDINGS, INC. | ||
By: | /s/ Diego Rotsztain | |
Diego Rotsztain | ||
Executive Vice President | ||
Exhibit Index
Exhibit No. | Description | |
99.1 | Press Release of GAIN Capital Holdings, Inc., dated January 15, 2015 | |
Exhibit 99.1
GAIN Capital Does Not Have Material Exposure to Todays Market Events
Bedminster, New JerseyJanuary 15, 2015GAIN Capital (NYSE:GCAP, GAIN or the Company ) commented on this mornings extreme volatility in the Swiss franc, following a surprise announcement by the Swiss National Bank that it would move interest rates to -0.75% and abandon the 1.20 floor for EUR/CHF.
Based on its current market and credit exposure, GAIN does not expect todays market events to have a material adverse financial impact.
About GAIN Capital
GAIN Capital Holdings, Inc.�(NYSE:�GCAP) provides innovative trading technology and execution services to retail and institutional investors worldwide, with multiple access points to OTC markets and global exchanges across a wide range of asset classes, including foreign exchange, commodities, and global equities. �GAIN Capital�is headquartered in�Bedminster, New Jersey, with a global presence across�North America, Europe�and the�Asia Pacific�regions.� For further company information, visit�www.gaincapital.com.
Forward-Looking Statements:
In addition to historical information, this earnings release contains "forward-looking" statements that reflect management's expectations for the future.� The forward-looking statements contained in this earnings release include, without limitation, statements relating to GAIN Capital's expectations regarding the opportunities and strengths of the combined company created by the combination of GAIN and City Index, anticipated cost and revenue synergies as well as expected growth in financial and operating metrics, the strategic rationale for the business combination, including expectations regarding product offerings, growth opportunities, value creation, and financial strength. A variety of important factors could cause results to differ materially from such statements. These factors include, but are not limited to, the actions of both current and potential new competitors, fluctuations in market trading volumes, financial market volatility, evolving industry regulations, including changes in regulation of futures companies, errors or malfunctions in our systems or technology, rapid changes in technology, effects of inflation, customer trading patterns, the success of our products and service offerings, our ability to continue to innovate and meet the demands of our customers for new or enhanced products, our ability to successfully integrate assets and companies we have acquired, including the successful integration of City Index, our ability to effectively compete in the OTC products and futures industries, changes in tax policy or accounting rules, fluctuations in foreign exchange rates and commodity prices, adverse changes or volatility in interest rates, as well as general economic, business, credit and financial market conditions, internationally or nationally, and our ability to continue paying a quarterly dividend in light of future financial performance and financing needs. The forward-looking statements included herein represent GAIN Capital's views as of the date of this earnings release. GAIN Capital undertakes no obligation to revise or update publicly any forward-looking statement for any reason unless required by law.
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