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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) | 02/06/2008(2) | A(2) | 2,808 | (1) | (1) | Common Stock, par value $0.01 per share | 2,808 | $ 0 | 2,808 | D | ||||
Restricted Stock Units | (3) | (3) | (3) | Common Stock, par value $0.01 per share | 9,268 | 9,268 | D | ||||||||
Restricted Stock Units | (4) | (4) | (4) | Common Stock, par value $0.01 per share | 650 | 650 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bernstein Dale B C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
Management Committee Member |
/c/ C.M. Courtney under POA dated March 27, 2007 | 02/07/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's Common Stock. RSUs vest and shares are delivered in three equal installments on each of February 6, 2009, 2010, and 2011, subject to the Reporting Person's continued employment with the Issuer. |
(2) | Granted under the NYSE Euronext 2006 Stock Incentive Plan. Pursuant to action of the Issuer's Human Resources and Compensation Committee on 1/30/2008, the effective date of grant is 2/6/2008. The amount of the award was determined in part by reference to the closing price of the Issuer's common stock on 2/5/2008. |
(3) | Each vested RSU represents the right to receive one share of the Issuer's Common Stock on March 8, 2009. Three-quarters are fully vested and the remaining one-quarter will vest on March 8, 2008, subject to the Reporting Person's continued employment with the Issuer. |
(4) | Each RSU represents the right to receive one share of the Issuer's Common Stock. RSUs vest and shares are delivered in two equal installments on each of February 3, 2009, and 2010, subject to the Reporting Person's continued employment with the Issuer. |