0000950123-10-108827 Sample Contracts

EXECUTIVE EMPLOYMENT AGREEMENT
Executive Employment Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New Jersey

THIS EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is dated as of November 23, 2010 (the “Effective Date”) and is by and between GAIN Capital Holdings, Inc., a corporation organized under the laws of Delaware, including its subsidiaries and affiliates (the “Company”) and Henry Lyons, a resident of (“Executive”). This Agreement supersedes the employment letter agreement, dated as of March 23, 2009, by and between the Company and the Executive.

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Shares GAIN CAPITAL HOLDINGS, INC. COMMON STOCK (PAR VALUE $0.00001 PER SHARE) UNDERWRITING AGREEMENT
Underwriting Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New York

The undersigned understands that Morgan Stanley & Co. Incorporated and Deutsche Bank Securities Inc. (collectively, the “Representatives”) propose to enter into an Underwriting Agreement (the “Underwriting Agreement”) with GAIN Capital Holdings, Inc., a Delaware corporation (the “Company”), providing for the public offering (the “Public Offering”) by the several Underwriters (the “Underwriters”), of [___] shares (the “Shares”) of the common stock, par value $0.00001 per share, of the Company (the “Common Stock”).

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AMENDED AND RESTATED EMPLOYMENT AGREEMENT
Employment Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New Jersey

THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Agreement”) is dated as of November 23, 2010 (the “Effective Date”) and is by and between GAIN Capital Holdings, Inc., a corporation organized under the laws of Delaware, including its subsidiaries and affiliates (the “Company”) and Glenn Stevens, a resident of (“Executive”). This Agreement amends and restates the Employment Agreement, dated as of January 1, 2008, by and between the Company and the Executive.

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GAIN CAPITAL HOLDINGS, INC. 2010 OMNIBUS INCENTIVE COMPENSATION PLAN RESTRICTED STOCK UNIT AGREEMENT
Restricted Stock Unit Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • Delaware

This RESTRICTED STOCK UNIT AGREEMENT (the “Agreement”), dated as of __________ ___, 20__ (the “Date of Grant”), is delivered by GAIN Capital Holdings, Inc. (the “Company”) to _______________ (the “Grantee”).

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RETENTION AGREEMENT
Retention Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New Jersey

This Retention Agreement (the “Agreement”), dated November 23, 2010 (the “Effective Date”), is entered into between HENRY C. LYONS (the “Executive”) and GAIN CAPITAL HOLDINGS, INC. (the “Company”). Unless otherwise specified, capitalized terms used in this Agreement are defined in Section 4.

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SIXTH LOAN MODIFICATION AGREEMENT
Loan Modification Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers

This Sixth Loan Modification Agreement (this “Loan Modification Agreement”) is entered into as of August 30, 2010, by and among SILICON VALLEY BANK, a California corporation (“SVB”), as collateral agent (the “Collateral Agent”) for the Lenders and administrative agent (the “Administrative Agent”) for the Lenders (Collateral Agent and Administrative Agent are collectively the “Agent”), and the Lenders listed on Schedule 1.1 to the Loan Agreement (as defined below) and otherwise party hereto, including, without limitation, SVB and JPMORGAN CHASE BANK, N.A. (“JPMorgan”) (SVB and JPMorgan are, collectively, the “Joint Bookrunners”) and GAIN CAPITAL HOLDINGS, INC., a Delaware corporation (“Borrower”).

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GAIN CAPITAL HOLDINGS, INC. 2010 OMNIBUS INCENTIVE COMPENSATION PLAN INCENTIVE STOCK OPTION GRANT
Incentive Stock Option Grant Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • Delaware

This INCENTIVE STOCK OPTION GRANT AGREEMENT (the “Agreement”), dated as of __________ ___, 20__ (the “Date of Grant”), is delivered by GAIN Capital Holdings, Inc. (the “Company”) to _______________ (the “Grantee”).

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GAIN CAPITAL HOLDINGS, INC. 2010 OMNIBUS INCENTIVE COMPENSATION PLAN NONQUALIFIED STOCK OPTION GRANT
Nonqualified Stock Option Grant Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • Delaware

This NONQUALIFIED STOCK OPTION GRANT AGREEMENT (the “Agreement”), dated as of , 20 (the “Date of Grant”), is delivered by GAIN Capital Holdings, Inc. (the “Company”) to (the “Grantee”).

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AMENDMENT NO. 1 TO ASSET PURCHASE AGREEMENT
Asset Purchase Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New York

This Amendment No. 1 (this “Amendment”), dated as of November 22, 2010, is made to that certain Asset Purchase Agreement, dated as of October 5, 2010, by and among GAIN Capital Group, LLC, a Delaware limited liability company (“GAIN Capital”), GAIN Capital-Forex.com U.K., Limited, an English private limited company (company number: 03770004) (“GAIN UK”), and GAIN Capital Forex.com Japan, Co. Ltd., a Japanese limited liability company (“GAIN Japan”, collectively with GAIN Capital and GAIN UK, the “Purchaser”), and Capital Market Services, LLC, a New York limited liability company(“CMS”), Capital Market Services UK Ltd., an English private limited company (company number: 06592025) (“CMS UK”), Capital Market Services International — BM, Ltd., an exempted company incorporated in Bermuda (“CMS Bermuda”) and CMS Japan K.K., a limited company (Kabushiki Kaisha) registered under the laws of Japan (“CMS Japan”) (CMS, collectively with CMS UK, CMS Bermuda and CMS Japan, the “Seller”) (as the sa

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GAIN CAPITAL HOLDINGS, INC. 2010 OMNIBUS INCENTIVE COMPENSATION PLAN RESTRICTED STOCK GRANT
Restricted Stock Grant Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • Delaware

This RESTRICTED STOCK GRANT AGREEMENT (this “Agreement”), dated as of ____________ (the “Date of Grant”), is delivered by GAIN Capital Holdings, Inc. (the “Company”), to __________________ (the “Grantee”).

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ASSET PURCHASE AGREEMENT
Asset Purchase Agreement • November 24th, 2010 • GAIN Capital Holdings, Inc. • Commodity contracts brokers & dealers • New York

This Asset Purchase Agreement, dated as of October 5, 2010 (this “Agreement”), is made by and among GAIN Capital Group, LLC, a Delaware limited liability company (“GAIN Capital”), GAIN Capital-Forex.com U.K., Limited, an English private limited company (company number: 03770004) (“GAIN UK”), and GAIN Capital Forex.com Japan, Co. Ltd., a Japanese limited liability company (“GAIN Japan”, collectively with GAIN Capital and GAIN UK, the “Purchasers”), and Capital Market Services, LLC, a New York limited liability company(“CMS”), Capital Market Services UK Ltd., an English private limited company (company number: 06592025) (“CMS UK”), Capital Market Services International — BM, Ltd., an exempted company incorporated in Bermuda (“CMS Bermuda”) and CMS Japan K.K., a limited company (Kabushiki Kaisha) registered under the laws of Japan (“CMS Japan”) (CMS, collectively with CMS UK, CMS Bermuda and CMS Japan, the “Seller”). For purposes of this Agreement, “Purchaser” shall refer to the applicabl

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