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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) | 04/07/2008(2) | A | 17,675 | (1) | (1) | Common Stock, par value $0.01 per share | 17,675 | $ 0 | 17,675 | D | ||||
Restricted Stock Units | (3) | (3) | (3) | Common Stock, par value $0.01 per share | 996 | 996 | D | ||||||||
Restricted Stock Units | (4) | (4) | (4) | Common Stock, par value $0.01 per share | 3,079 | 3,079 | D | ||||||||
Restricted Stock Units | (5) | (5) | (5) | Common Stock, par value $0.01 per share | 7,402 | 7,402 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brandman Andrew C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
SVP - Hd Intgrtn and Bus Ops |
/s/ C.M. Courtney under POA dated 12/5/2007 | 04/08/2008 | |
**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 on April 7, 2011, subject to the Reporting Person's continued employment with the Issuer. |
(2) | The number of RSUs granted was determined in part by the closing price of the issuer's common stock on April 4, 2008. |
(3) | Each RSU represents the right to receive one share of the Issuer's Common Stock. Rermaining RSUs vest and shares are delivered in equal installments on each of February 3, 2009 and 2010, subject to the Reporting Person's continued employment with the Issuer. |
(4) | 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. |
(5) | Each RSU represents the right to receive one share of the Issuer's Common Stock on March 8, 2009. |