3i corp - see footnote investment history in Gain capital holdings inc

Filed on 2013-05-24 by 3i Corp SEC CIK 1108988 Form 4

Accession 0001181431-13-030847.txt Sec File: edgar/data/1108988/0001181431-13-030847-index.htm

2013-05-23 3i Corp (CIK 1108988) through See Footnote

Invested in Gain Capital Holdings Inc sold 1200000 shares at $5.35 remaining shares owned 3518202

Common Stock Gain Capital Holdings Inc Gcap Transaction code: S Open market or private sale of securities

f4 consists of 1,847,118 shares owned directly by growth partners, 121,153 shares owned directly by growth capital d, 813,069 shares owned directly by growth capital e, 121,153 shares owned directly by growth capital p and 615,709 shares owned directly by mayflower.


Filed on 2013-05-24 by 3i Corp SEC CIK 1108988 Form 4

Accession 0001181431-13-030847.txt Sec File: edgar/data/1108988/0001181431-13-030847-index.htm

2013-05-22 3i Corp (CIK 1108988) through See Footnote

Invested in Gain Capital Holdings Inc sold 150000 shares at $5.50 remaining shares owned 4718202

Common Stock Gain Capital Holdings Inc Gcap Transaction code: S Open market or private sale of securities

f1 consists of 2,477,140 shares owned directly by 3i u.s. growth partners lp ("growth partners"), 162,476 shares owned directly by 3i growth capital (usa) d lp ("growth capital d"), 1,090,394 shares owned directly by 3i growth capital (usa) e lp ("growth capital e"), 162,476 shares owned directly by 3i growth capital (usa) p lp ("growth capital p") and 825,716 shares owned directly by mayflower l.p. ("mayflower"). 3i u.s. growth corporation is the general partner of growth partners, growth capital d, growth capital e and growth capital p (together, 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. (continued in footnote 2)
f2 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. (continued in footnote 3)
f3 each of 3i corporation, 3i u.s. growth corporation, 3i investments plc and 3i group disclaims beneficial ownership of the shares, except to the extent of its pecuniary interest, if any, therein.