UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
GAIN Capital Holdings, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
36268W 100
(CUSIP Number)
December 31, 2013
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
x Rule 13d-1(c)
¨ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
13G
| CUSIP No. 36268W 100 | Page 2 of 11 Pages |
| 1 | Names of reporting persons
3i Corporation | |||||
| 2 | Check the appropriate box if a member of a group (see instructions) (a) ¨ (b) ¨
| |||||
| 3 | SEC use only
| |||||
| 4 | Citizenship or place of organization
Massachusetts | |||||
Number of shares beneficially owned by each reporting person with | 5 | Sole voting power
00,000 | ||||
| 6 | Shared voting power
2,299,761 | |||||
| 7 | Sole dispositive power
00,000 | |||||
| 8 | Shared dispositive power
2,299,761 | |||||
| 9 | Aggregate amount beneficially owned by each reporting person
2,299,761 | |||||
| 10 | Check box if the aggregate amount in Row (9) excludes certain shares (see instructions) ¨
| |||||
| 11 | Percent of class represented by amount in Row (9)
5.8% | |||||
| 12 | Type of reporting person (see instructions)
CO | |||||
| 13G | ||||
CUSIP No. 36268W 100 |
Page 3 of 11 Pages |
| 1 | Names of reporting persons
3i U.S. Growth Corporation | |||||
| 2 | Check the appropriate box if a member of a group (see instructions) (a) ¨ (b) ¨
| |||||
| 3 | SEC use only
| |||||
| 4 | Citizenship or place of organization
Delaware | |||||
Number of shares beneficially owned by each reporting person with | 5 | Sole voting power
00,000 | ||||
| 6 | Shared voting power
2,299,761 | |||||
| 7 | Sole dispositive power
00,000 | |||||
| 8 | Shared dispositive power
2,299,761 | |||||
| 9 | Aggregate amount beneficially owned by each reporting person
2,299,761 | |||||
| 10 | Check box if the aggregate amount in Row (9) excludes certain shares (see instructions) ¨
| |||||
| 11 | Percent of class represented by amount in Row (9)
5.8% | |||||
| 12 | Type of reporting person (see instructions)
CO | |||||
| 13G | ||||
CUSIP No. 36268W 100 |
Page 4 of 11 Pages |
| 1 | Names of reporting persons
3i Investments plc | |||||
| 2 | Check the appropriate box if a member of a group (see instructions) (a) ¨ (b) ¨
| |||||
| 3 | SEC use only
| |||||
| 4 | Citizenship or place of organization
United Kingdom | |||||
Number of shares beneficially owned by each reporting person with | 5 | Sole voting power
00,000 | ||||
| 6 | Shared voting power
402,475 | |||||
| 7 | Sole dispositive power
00,000 | |||||
| 8 | Shared dispositive power
402,475 | |||||
| 9 | Aggregate amount beneficially owned by each reporting person
2,299,761 | |||||
| 10 | Check box if the aggregate amount in Row (9) excludes certain shares (see instructions) ¨
| |||||
| 11 | Percent of class represented by amount in Row (9)
5.8% | |||||
| 12 | Type of reporting person (see instructions)
OO | |||||
| 13G | ||||
CUSIP No. 36268W 100 |
Page 5 of 11 Pages |
Item 1.
| (a) | Name of Issuer |
GAIN Capital Holdings, Inc.
| (b) | Address of Issuer’s Principal Executive Offices |
135 US Highway 202/206, Suite 11 Bedminster, NJ 07921
| Item 2. |
| (a) | Name of Person Filing |
3i Corporation, which is the manager of each of 3i U.S. Growth Partners L.P. (“Growth Partners”), 3i Growth Capital (USA) D L.P. (“Growth Capital D”), 3i Growth Capital (USA) E L.P. (“Growth Capital E”) and 3i Growth Capital (USA) P L.P. (“Growth Capital P” and, together with “Growth Partners, Growth Capital D and Growth Capital E, the “Growth Funds”); 3i U.S. Growth Corporation, which is the general partner of the Growth Funds; and 3i Investments plc, which is the manager of Mayflower L.P. (“Mayflower”). The Growth Funds and Mayflower directly own the shares of the Issuer. 3i Corporation and 3i U.S. Growth Corporation has investment authority over the shares held by the Growth Funds. 3i Investments plc has investment authority over the shares held by Mayflower. On March 30, 2012, 851,967 shares previously owned directly by 3i Technology Partners III LP (“Technology Partners”) were transferred to Mayflower, an affiliate of Technology Partners. The persons named in this paragraph are referred to individually herein as a “Reporting Person” and collectively as the “Reporting Persons.”
| (b) | Address of Principal Business Office or, if none, Residence |
Address of Principal Office for 3i Corporation and 3i U.S. Growth Corporation is 400 Madison Avenue, 9th Floor, New York, N.Y. 10017.
Address of Principal Office for 3i Investments plc is 16 Palace Street, London SW1E 5JD UK.
| (c) | Citizenship |
3i Corporation is a Massachusetts Corporation and 3i U.S. Growth Corporation is a Delaware corporation. 3i Investments plc is a public limited company organized in the United Kingdom.
| (d) | Title of Class of Securities |
Common Stock
| (e) | CUSIP Number |
36268W 100
| Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
| (a) | ¨ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); | ||
| (b) | ¨ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); | ||
| (c) | ¨ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); | ||
| 13G | ||||
CUSIP No. 36268W 100 |
Page 6 of 11 Pages |
| (d) | ¨ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | ||
| (e) | ¨ | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); | ||
| (f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); | ||
| (g) | ¨ | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); | ||
| (h) | ¨ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||
| (i) | ¨ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | ||
| (j) | ¨ | Non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); | ||
| (k) | ¨ | Group, in accordance with §240.13d-1(b)(1)(ii)(K). | ||
Not applicable. This Schedule 13G is not being filed pursuant to Rule 13d-1(b) or Rule 13-2(b) or (c).
| 13G | ||||
CUSIP No. 36268W 100 |
Page 7 of 11 Pages |
| Item 4. | Ownership. |
| (a) | Amount beneficially owned: 1,207,414 shares owned directly by Growth Partners, 79,196 shares owned directly by Growth Capital D, 531,480 shares owned directly by Growth Capital E, 79,196 shares owned directly by Growth Capital P and 402,475 shares owned directly by Mayflower. 3i U.S. Growth Corporation is the general partner of the Growth Funds and has investment authority over the shares held by such Growth Funds. 3i Corporation is the manager of the Growth Funds that directly own the reported securities. Investment and divestment decisions are made by the board of directors of 3i Corporation, which is an indirect wholly owned subsidiary of 3i Group plc (“3i Group plc”), a public company listed on the London Stock Exchange. As a result, 3i Corporation, as manager of each of the Growth Funds, and 3i U.S. Growth Corporation, as general partner of each of the Growth Funds, may be deemed to have voting and dispositive power with respect to the shares of common stock held by the Growth Funds. 3i Investments plc is the manager of Mayflower and has investment authority over the shares held by Mayflower and may be deemed to have voting and dispositive power with respect to the shares of common stock held by Mayflower. Each of 3i U.S. Growth Corporation and 3i Investments plc is an indirect wholly-owned subsidiary of 3i Group. 3i Group is the direct or indirect beneficial owner of all general partnership and limited partnership interests in Growth Capital D, Growth Capital P and Mayflower. 3i Group is an indirect limited partner in Growth Capital E and Growth Partners. |
| (b) | Percent of class: 5.8% (based on 39,762,579 shares outstanding as of March 17, 2014, as reported in the Issuer’s Annual Report on Form 10-K for the year ended December 31, 2013) |
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote 0 for each Reporting Person |
| (ii) | Shared power to vote or to direct the vote 402,475 shares for 3i Investments plc. 2,299,761 shares for each of 3i Corporation and 3i U.S. Growth Corporation. |
| (iii) | Sole power to dispose or to direct the disposition of 0 for each Reporting Person |
| (iv) | Shared power to dispose or to direct the disposition of 402,475 shares for 3i Investments plc. 2,299,761 shares for each of 3i Corporation and 3i U.S. Growth Corporation. |
Each Reporting Person disclaims beneficial ownership of all shares except for the shares, if any, that such Reporting Person holds of record.
| Item 5. | Ownership of Five Percent or Less of a Class. |
Not applicable.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. |
Not applicable.
| Item 8. | Identification and Classification of Members of the Group. |
Not applicable. The reporting persons expressly disclaim membership in a “group” as used in Rule 13d-1(b)(ii)(H).
| 13G | ||||
CUSIP No. 36268W 100 |
Page 8 of 11 Pages |
| Item 9. | Notice of Dissolution of Group: |
Not applicable.
| Item 10. | Certification: |
Not applicable. This Schedule 13G is not being filed pursuant to Rule 13d-1(b) or Rule 13-1(c).
| 13G | ||||
CUSIP No. 36268W 100 |
Page 9 of 11 Pages |
Signature
After reasonable inquiry and to the best of our knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Dated: May 7, 2014 |
| 3i CORPORATION |
/s/ Ken Hanau |
| Ken Hanau |
| 3i U.S. GROWTH CORPORATION |
/s/ Ken Hanau |
| Ken Hanau |
| 3i INVESTMENTS PLC |
/s/ Alastair Richardson |
| Alastair Richardson |
EXHIBIT INDEX
| Exhibit A — | Joint Filing Agreement |
EXHIBIT A
JOINT FILING AGREEMENT
The undersigned hereby agree to file jointly the statement on Schedule 13G to which this Agreement is attached and any amendments thereto which may be deemed necessary, pursuant to Regulation 13D-G under the Securities Exchange Act of 1934.
It is understood and agreed that each of the parties hereto is responsible for the timely filing of such statement and any amendments thereto and for the completeness and accuracy of the information concerning such party contained therein, but such party is not responsible for the completeness or accuracy of information concerning the other party unless such party knows or has reason to believe that such information is inaccurate.
It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the statement on Schedule 13G, and any amendments hereto, filed on behalf of each of the parties hereto.
Dated: May 7, 2014
| 3i CORPORATION |
/s/ Ken Hanau |
| Ken Hanau |
| 3i U.S. GROWTH CORPORATION |
/s/ Ken Hanau |
| Ken Hanau |
| 3i INVESTMENTS PLC |
/s/ Alastair Richardson |
| Alastair Richardson |
