401k Plan data: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN plan

GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 401k Plan overview

Plan Name	GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN
Plan identification number	002

GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

GAIN CAPITAL GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: GAIN CAPITAL GROUP, LLC

Employer identification number (EIN): 204568600

NAIC Classification: 523900

Additional information about GAIN CAPITAL GROUP, LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4131546

More information about GAIN CAPITAL GROUP, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 JENNIFER LYNCH JENNIFER LYNCH 2018-10-10
002 2017-01-01 JENNIFER LYNCH JENNIFER LYNCH 2018-10-10
002 2017-01-01
002 2016-01-01 JENNIFER LYNCH JENNIFER LYNCH 2017-10-09
002 2015-01-01 JENNIFER LYNCH JENNIFER LYNCH 2016-10-17
002 2014-01-01 LISA BEISON LISA BEISON 2015-07-31
002 2013-01-01 LISA BEISON LISA BEISON 2015-06-25
002 2012-01-01 DARYL CARLOUGH DARYL CARLOUGH 2013-07-26

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
002	2020-01-01
002	2019-01-01
002	2018-01-01
002	2017-01-01	JENNIFER LYNCH	JENNIFER LYNCH	2018-10-10
002	2017-01-01	JENNIFER LYNCH	JENNIFER LYNCH	2018-10-10
002	2017-01-01
002	2016-01-01	JENNIFER LYNCH	JENNIFER LYNCH	2017-10-09
002	2015-01-01	JENNIFER LYNCH	JENNIFER LYNCH	2016-10-17
002	2014-01-01	LISA BEISON	LISA BEISON	2015-07-31
002	2013-01-01	LISA BEISON	LISA BEISON	2015-06-25
002	2012-01-01	DARYL CARLOUGH	DARYL CARLOUGH	2013-07-26

Plan Statistics for GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN

401k plan membership statisitcs for GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN

Measure Date Value
2020: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 387
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 0
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 0
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 350
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 252
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 135
Total of all active and inactive participants 2019-01-01 387
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 387
Number of participants with account balances 2019-01-01 290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 384
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 235
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 114
Total of all active and inactive participants 2018-01-01 349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 349
Number of participants with account balances 2018-01-01 290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 390
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 284
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 100
Total of all active and inactive participants 2017-01-01 384
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 384
Number of participants with account balances 2017-01-01 304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 394
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 278
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 112
Total of all active and inactive participants 2016-01-01 390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 390
Number of participants with account balances 2016-01-01 293
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 422
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 292
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 102
Total of all active and inactive participants 2015-01-01 394
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 394
Number of participants with account balances 2015-01-01 301
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 475
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 336
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 85
Total of all active and inactive participants 2014-01-01 421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 421
Number of participants with account balances 2014-01-01 327
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 355
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 412
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 63
Total of all active and inactive participants 2013-01-01 475
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 475
Number of participants with account balances 2013-01-01 356
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 5
2012: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 361
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 301
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 54
Total of all active and inactive participants 2012-01-01 355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 355
Number of participants with account balances 2012-01-01 264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 66

Measure	Date	Value
2020: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	387
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	0
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	0
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	350
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	252
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	135
Total of all active and inactive participants	2019-01-01	387
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	387
Number of participants with account balances	2019-01-01	290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	384
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	235
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	114
Total of all active and inactive participants	2018-01-01	349
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	349
Number of participants with account balances	2018-01-01	290
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	390
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	284
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	100
Total of all active and inactive participants	2017-01-01	384
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	384
Number of participants with account balances	2017-01-01	304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	394
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	278
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	112
Total of all active and inactive participants	2016-01-01	390
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	390
Number of participants with account balances	2016-01-01	293
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	422
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	292
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	102
Total of all active and inactive participants	2015-01-01	394
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	394
Number of participants with account balances	2015-01-01	301
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	475
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	336
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	85
Total of all active and inactive participants	2014-01-01	421
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	421
Number of participants with account balances	2014-01-01	327
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	355
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	412
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	63
Total of all active and inactive participants	2013-01-01	475
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	475
Number of participants with account balances	2013-01-01	356
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	5
2012: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	361
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	301
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	54
Total of all active and inactive participants	2012-01-01	355
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	355
Number of participants with account balances	2012-01-01	264
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	66

Financial Data on GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN

Measure	Date	Value
2020 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-23	$0
Total transfer of assets to this plan	2020-12-23	$3,726,691
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-23	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-23	$0
Total income from all sources (including contributions)	2020-12-23	$2,426,148
Total loss/gain on sale of assets	2020-12-23	$0
Total of all expenses incurred	2020-12-23	$33,949,090
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-23	$33,852,527
Expenses. Certain deemed distributions of participant loans	2020-12-23	$0
Value of total corrective distributions	2020-12-23	$8,876
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-23	$1,516,021
Value of total assets at end of year	2020-12-23	$0
Value of total assets at beginning of year	2020-12-23	$27,796,251
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-23	$87,687
Total interest from all sources	2020-12-23	$71,840
Total dividends received (eg from common stock, registered investment company shares)	2020-12-23	$174,836
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-23	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-12-23	$0
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-23	$174,836
Administrative expenses professional fees incurred	2020-12-23	$0
Was this plan covered by a fidelity bond	2020-12-23	Yes
Value of fidelity bond cover	2020-12-23	$10,000,000
If this is an individual account plan, was there a blackout period	2020-12-23	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-23	No
Contributions received from participants	2020-12-23	$1,002,347
Participant contributions at end of year	2020-12-23	$0
Participant contributions at beginning of year	2020-12-23	$208,788
Assets. Other investments not covered elsewhere at end of year	2020-12-23	$0
Assets. Other investments not covered elsewhere at beginning of year	2020-12-23	$74,637
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-23	$77,566
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2020-12-23	$25,138,523
Other income not declared elsewhere	2020-12-23	$137,767
Administrative expenses (other) incurred	2020-12-23	$1,870
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-23	No
Value of net income/loss	2020-12-23	$-31,522,942
Value of net assets at end of year (total assets less liabilities)	2020-12-23	$0
Value of net assets at beginning of year (total assets less liabilities)	2020-12-23	$27,796,251
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-23	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-23	No
Were any leases to which the plan was party in default or uncollectible	2020-12-23	No
Investment advisory and management fees	2020-12-23	$71,012
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-23	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-23	$25,493,682
Value of interest in pooled separate accounts at end of year	2020-12-23	$0
Value of interest in pooled separate accounts at beginning of year	2020-12-23	$0
Interest on participant loans	2020-12-23	$7,006
Interest earned on other investments	2020-12-23	$64,834
Value of interest in common/collective trusts at end of year	2020-12-23	$0
Value of interest in common/collective trusts at beginning of year	2020-12-23	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-23	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-23	$1,898,068
Expenses. Payments to insurance carriers foe the provision of benefits	2020-12-23	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-23	$525,684
Net investment gain/loss from pooled separate accounts	2020-12-23	$0
Net investment gain or loss from common/collective trusts	2020-12-23	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-23	No
Was there a failure to transmit to the plan any participant contributions	2020-12-23	No
Has the plan failed to provide any benefit when due under the plan	2020-12-23	No
Assets. Invements in employer securities at end of year	2020-12-23	$0
Assets. Invements in employer securities at beginning of year	2020-12-23	$0
Contributions received in cash from employer	2020-12-23	$436,108
Employer contributions (assets) at beginning of year	2020-12-23	$121,076
Income. Dividends from common stock	2020-12-23	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-23	$8,714,004
Contract administrator fees	2020-12-23	$14,805
Did the plan have assets held for investment	2020-12-23	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-23	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-23	Yes
Opinion of an independent qualified public accountant for this plan	2020-12-23	Unqualified
Accountancy firm name	2020-12-23	WISS & COMPANY LLP
Accountancy firm EIN	2020-12-23	221732349
2019 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$7,764,840
Total income from all sources (including contributions)	2019-12-31	$7,764,840
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$2,882,811
Total of all expenses incurred	2019-12-31	$2,882,811
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,807,021
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,807,021
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,336,977
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$2,336,977
Value of total assets at end of year	2019-12-31	$27,796,251
Value of total assets at end of year	2019-12-31	$27,796,251
Value of total assets at beginning of year	2019-12-31	$22,914,222
Value of total assets at beginning of year	2019-12-31	$22,914,222
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$75,790
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$75,790
Total interest from all sources	2019-12-31	$13,070
Total interest from all sources	2019-12-31	$13,070
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$658,407
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$658,407
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$658,407
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$658,407
Administrative expenses professional fees incurred	2019-12-31	$0
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$10,000,000
Value of fidelity bond cover	2019-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$1,526,133
Contributions received from participants	2019-12-31	$1,526,133
Participant contributions at end of year	2019-12-31	$208,788
Participant contributions at end of year	2019-12-31	$208,788
Participant contributions at beginning of year	2019-12-31	$226,468
Participant contributions at beginning of year	2019-12-31	$226,468
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$74,637
Assets. Other investments not covered elsewhere at end of year	2019-12-31	$74,637
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$73,422
Assets. Other investments not covered elsewhere at beginning of year	2019-12-31	$73,422
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$40,714
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$40,714
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$4,882,029
Value of net income/loss	2019-12-31	$4,882,029
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$27,796,251
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$27,796,251
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$22,914,222
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$22,914,222
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Investment advisory and management fees	2019-12-31	$72,885
Investment advisory and management fees	2019-12-31	$72,885
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$25,493,682
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$25,493,682
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$21,149,150
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$21,149,150
Value of interest in pooled separate accounts at end of year	2019-12-31	$0
Value of interest in pooled separate accounts at end of year	2019-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$0
Interest on participant loans	2019-12-31	$13,070
Interest on participant loans	2019-12-31	$13,070
Interest earned on other investments	2019-12-31	$0
Interest earned on other investments	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$0
Value of interest in common/collective trusts at beginning of year	2019-12-31	$0
Value of interest in common/collective trusts at beginning of year	2019-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,898,068
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$1,898,068
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,298,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$1,298,691
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,756,386
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,756,386
Net investment gain/loss from pooled separate accounts	2019-12-31	$0
Net investment gain/loss from pooled separate accounts	2019-12-31	$0
Net investment gain or loss from common/collective trusts	2019-12-31	$0
Net investment gain or loss from common/collective trusts	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$0
Assets. Invements in employer securities at end of year	2019-12-31	$0
Assets. Invements in employer securities at beginning of year	2019-12-31	$0
Assets. Invements in employer securities at beginning of year	2019-12-31	$0
Contributions received in cash from employer	2019-12-31	$770,130
Contributions received in cash from employer	2019-12-31	$770,130
Employer contributions (assets) at end of year	2019-12-31	$121,076
Employer contributions (assets) at end of year	2019-12-31	$121,076
Employer contributions (assets) at beginning of year	2019-12-31	$166,491
Employer contributions (assets) at beginning of year	2019-12-31	$166,491
Income. Dividends from common stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,807,021
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,807,021
Contract administrator fees	2019-12-31	$2,905
Contract administrator fees	2019-12-31	$2,905
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	WISS
Accountancy firm name	2019-12-31	WISS
Accountancy firm EIN	2019-12-31	221732349
Accountancy firm EIN	2019-12-31	221732349
2018 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$1,339,187
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,811,767
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,732,407
Value of total corrective distributions	2018-12-31	$2,952
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$2,641,681
Value of total assets at end of year	2018-12-31	$22,914,222
Value of total assets at beginning of year	2018-12-31	$25,386,802
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$76,408
Total interest from all sources	2018-12-31	$58,238
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$807,661
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$807,661
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$1,612,119
Participant contributions at end of year	2018-12-31	$226,467
Participant contributions at beginning of year	2018-12-31	$224,774
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$73,422
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$72,445
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$159,318
Other income not declared elsewhere	2018-12-31	$978
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-2,472,580
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$22,914,222
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$25,386,802
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Investment advisory and management fees	2018-12-31	$72,612
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$21,149,151
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$23,539,097
Interest on participant loans	2018-12-31	$11,838
Interest earned on other investments	2018-12-31	$46,400
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$1,298,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$1,382,265
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-2,169,371
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$870,244
Employer contributions (assets) at end of year	2018-12-31	$166,491
Employer contributions (assets) at beginning of year	2018-12-31	$168,221
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,732,407
Contract administrator fees	2018-12-31	$3,796
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	WISS
Accountancy firm EIN	2018-12-31	221732349
2017 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$6,829,367
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$2,015,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,917,140
Expenses. Certain deemed distributions of participant loans	2017-12-31	$0
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,767,547
Value of total assets at end of year	2017-12-31	$25,199,485
Value of total assets at beginning of year	2017-12-31	$20,385,359
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$98,101
Total interest from all sources	2017-12-31	$54,742
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$587,194
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$587,194
Administrative expenses professional fees incurred	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$1,682,156
Participant contributions at end of year	2017-12-31	$224,774
Participant contributions at beginning of year	2017-12-31	$218,138
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$72,444
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$60,719
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$211,950
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$4,285
Administrative expenses (other) incurred	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$4,814,126
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$25,199,485
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$20,385,359
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Investment advisory and management fees	2017-12-31	$94,251
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$23,539,097
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$18,647,187
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$0
Interest on participant loans	2017-12-31	$10,212
Interest earned on other investments	2017-12-31	$44,530
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$1,363,170
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$1,459,315
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$3,415,599
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$873,441
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,917,140
Contract administrator fees	2017-12-31	$3,850
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	WISS & COMPANY
Accountancy firm EIN	2017-12-31	221732349
2016 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$4,399,566
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$3,356,622
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$3,264,363
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$2,864,579
Value of total assets at end of year	2016-12-31	$20,517,306
Value of total assets at beginning of year	2016-12-31	$19,474,362
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$92,259
Total interest from all sources	2016-12-31	$56,317
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$446,163
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$446,163
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$10,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2016-12-31	$0
Minimum employer required contribution for this plan year	2016-12-31	$0
Amount contributed by the employer to the plan for this plan year	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$1,520,771
Participant contributions at end of year	2016-12-31	$218,138
Participant contributions at beginning of year	2016-12-31	$310,063
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$60,719
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$60,355
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$492,465
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$12,241
Administrative expenses (other) incurred	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$1,042,944
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$20,517,306
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$19,474,362
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$88,612
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$18,647,187
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$17,509,126
Value of interest in pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$11,369
Interest earned on other investments	2016-12-31	$44,948
Value of interest in common/collective trusts at end of year	2016-12-31	$0
Value of interest in common/collective trusts at beginning of year	2016-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$1,459,941
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$1,433,026
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,020,266
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$0
Assets. Invements in employer securities at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$851,343
Employer contributions (assets) at end of year	2016-12-31	$131,321
Employer contributions (assets) at beginning of year	2016-12-31	$161,792
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$3,264,363
Contract administrator fees	2016-12-31	$3,647
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	WISS & COMPANY, LLP
Accountancy firm EIN	2016-12-31	221732349
2015 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,911,030
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,368,420
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,276,973
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,890,382
Value of total assets at end of year	2015-12-31	$19,474,362
Value of total assets at beginning of year	2015-12-31	$18,931,752
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$91,447
Total interest from all sources	2015-12-31	$59,105
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$577,403
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$577,403
Administrative expenses professional fees incurred	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,818,709
Participant contributions at end of year	2015-12-31	$310,063
Participant contributions at beginning of year	2015-12-31	$346,449
Participant contributions at beginning of year	2015-12-31	$75
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$60,355
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$15,250
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$107,981
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$-11,516
Administrative expenses (other) incurred	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$542,610
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$19,474,362
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$18,931,752
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$86,644
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$17,509,126
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$16,981,780
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$14,804
Interest earned on other investments	2015-12-31	$44,301
Value of interest in common/collective trusts at end of year	2015-12-31	$0
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-12-31	$1,433,026
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-12-31	$1,493,321
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-604,344
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$963,692
Employer contributions (assets) at end of year	2015-12-31	$161,792
Employer contributions (assets) at beginning of year	2015-12-31	$94,877
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,276,973
Contract administrator fees	2015-12-31	$4,803
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	WISS & COMPANY, LLP
Accountancy firm EIN	2015-12-31	221732349
2014 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$5,276,205
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,763,141
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,573,220
Expenses. Certain deemed distributions of participant loans	2014-12-31	$148,832
Value of total corrective distributions	2014-12-31	$78
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$3,877,978
Value of total assets at end of year	2014-12-31	$18,931,752
Value of total assets at beginning of year	2014-12-31	$16,418,688
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$41,011
Total interest from all sources	2014-12-31	$53,274
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$639,649
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$639,649
Administrative expenses professional fees incurred	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,030,318
Participant contributions at end of year	2014-12-31	$346,449
Participant contributions at beginning of year	2014-12-31	$436,658
Participant contributions at end of year	2014-12-31	$75
Participant contributions at beginning of year	2014-12-31	$12,048
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$15,250
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$629,796
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$-1,878
Administrative expenses (other) incurred	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$2,513,064
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$18,931,752
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$16,418,688
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$33,848
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$16,981,780
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$14,315,525
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$12,082
Interest earned on other investments	2014-12-31	$41,192
Value of interest in common/collective trusts at end of year	2014-12-31	$0
Value of interest in common/collective trusts at beginning of year	2014-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$7,007
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$7,007
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-12-31	$1,493,321
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-12-31	$1,639,841
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$707,182
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$1,217,864
Employer contributions (assets) at end of year	2014-12-31	$94,877
Employer contributions (assets) at beginning of year	2014-12-31	$7,609
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,573,220
Contract administrator fees	2014-12-31	$7,163
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	WISS & COMPANY, LLP
Accountancy firm EIN	2014-12-31	221732349
2013 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$1,720,454
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,982,474
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,511,334
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$1,477,418
Expenses. Certain deemed distributions of participant loans	2013-12-31	$29,681
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,865,759
Value of total assets at end of year	2013-12-31	$16,418,688
Value of total assets at beginning of year	2013-12-31	$11,227,094
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$4,235
Total interest from all sources	2013-12-31	$48,389
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$347,889
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$347,889
Administrative expenses professional fees incurred	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,768,688
Participant contributions at end of year	2013-12-31	$436,658
Participant contributions at beginning of year	2013-12-31	$258,645
Participant contributions at end of year	2013-12-31	$12,048
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$180,672
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,471,140
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$16,418,688
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$11,227,094
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$14,315,525
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$9,857,787
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$14,039
Interest earned on other investments	2013-12-31	$34,350
Value of interest in common/collective trusts at end of year	2013-12-31	$0
Value of interest in common/collective trusts at beginning of year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$7,007
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-12-31	$1,639,841
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-12-31	$1,110,662
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$1,720,437
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$916,399
Employer contributions (assets) at end of year	2013-12-31	$7,609
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$1,477,418
Contract administrator fees	2013-12-31	$4,235
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	WISS & COMPANY, LLP
Accountancy firm EIN	2013-12-31	221732349
2012 : GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,624,571
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$927,727
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$923,877
Expenses. Certain deemed distributions of participant loans	2012-12-31	$0
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$2,573,746
Value of total assets at end of year	2012-12-31	$11,227,094
Value of total assets at beginning of year	2012-12-31	$8,530,250
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$3,850
Total interest from all sources	2012-12-31	$38,704
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$147,340
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$147,340
Administrative expenses professional fees incurred	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,486,365
Participant contributions at end of year	2012-12-31	$258,645
Participant contributions at beginning of year	2012-12-31	$159,347
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$500,872
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$6,726
Administrative expenses (other) incurred	2012-12-31	$125
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$2,696,844
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$11,227,094
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$8,530,250
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$9,857,787
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$7,251,123
Value of interest in pooled separate accounts at end of year	2012-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$0
Interest on participant loans	2012-12-31	$5,963
Interest earned on other investments	2012-12-31	$32,741
Value of interest in common/collective trusts at end of year	2012-12-31	$0
Value of interest in common/collective trusts at beginning of year	2012-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$1,110,662
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$1,119,780
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$858,055
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$586,509
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$923,877
Contract administrator fees	2012-12-31	$3,725
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	WISS & COMPANY LLC
Accountancy firm EIN	2012-12-31	221732349

Form 5500 Responses for GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN

2020: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	Yes
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Insurance	Yes
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement – Insurance	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	Yes
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: GAIN CAPITAL HOLDINGS, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	8
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-23
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	388
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	350
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	384
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	394
Insurance policy start date	2015-01-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	421
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	475
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65935 )

Policy contract number

MR 60632

Policy instance

Insurance contract or identification number	MR 60632
Number of Individuals Covered	355
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	No
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	GAIN CAPITAL GROUP, LLC
Employer identification number (EIN):	204568600
NAIC Classification:	523900

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4131546