|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (6) | 11/01/2008 | C(1) | 627 | (6) | (6) | Common Stock, par value $0.01 per share | 627 | $ 0 | 836 | D | ||||
Restricted Stock Units | (6) | 11/01/2009 | C(1) | 836 | (6) | (6) | Common Stock, par value $0.01 per share | 836 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Biehler Stephane C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
Chief Accounting Officer |
/s/ Janet L. McGinness under POA dated December 4, 2007 | 05/09/2013 | |
**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) | Represents conversion of Restricted Stock Units into an equal number of shares of Common Stock. |
(2) | Represents the amount of securities beneficially owned as of the applicable transaction date. |
(3) | Represents the closing price of the Common Stock on the trading day immediately before the date of delivery of the securities. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.95 to $40.13, inclusive. The reporting person undertakes to provide to NYSE Euronext, any security holder of NYSE Euronext, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4). |
(5) | Represents the amount of Common Stock beneficially owned by the reporting person as of May 8, 2013 following the sale of Common Stock. |
(6) | Each Restricted Stock Unit ("RSU") represents the right to receive one share of Common Stock. RSUs vested and shares were delivered as follows: 627 shares on November 1, 2008, and 836 shares on November 1, 2009, subject to the reporting person's continued employment with the Issuer. |