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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 | (3) | 02/08/2013 | C | 23,450 | (3) | (3) | Common Stock, par value $0.01 per share | 23,450 | $ 0 | 23,450 | D | ||||
Restricted Stock Units | (4) | 02/10/2013 | C | 29,951 | (4) | (4) | Common Stock, par value $0.01 per share | 29,951 | $ 0 | 0 | D | ||||
Restricted Stock Units | (5) | 02/10/2013 | C | 63,425 | (5) | (5) | Common Stock, par value $0.01 per share | 63,425 | $ 0 | 0 | D | ||||
Restricted Stock Units | (6) | 02/11/2013 | C | 31,675 | (6) | (6) | Common Stock, par value $0.01 per share | 31,675 | $ 0 | 63,349 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Niederauer Duncan L C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
X | Chief Executive Officer |
/s/ Janet L. McGinness under POA dated March 19, 2007 | 02/12/2013 | |
**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 the settlement of Restricted Stock Units. |
(2) | Represents the closing price of the Common Stock on the trading day immediately before the date of delivery of the securities. |
(3) | Each restricted stock unit ("RSU") represents the right to receive one share of the Issuer's common stock. RSUs vest and are settled in three equal installments on each of February 8, 2012, 2013 and 2014, subject to the terms of the Issuer's Omnibus Incentive Plan and the applicable award agreement issued thereunder. The amount of the award was determined in part by reference to the closing price of the Issuer's common stock on February 7, 2013. |
(4) | Each restricted stock unit ("RSU") represents the right to receive one share of the Issuer's common stock. RSUs vest and are settled in three equal installments on each of February 10, 2011, 2012 and 2013, subject to the terms of the Issuer's Omnibus Incentive Plan and the applicable award agreement issued thereunder. The amount of the award was determined in part by reference to the closing price of the Issuer's common stock on February 8, 2013. |
(5) | Each restricted stock unit ("RSU") represents the right to receive one share of the Issuer's common stock. RSUs vest and are settled on each of February 10, 2013, subject to the terms of the Issuer's Omnibus Incentive Plan and the applicable award agreement issued thereunder. The amount of the award was determined in part by reference to the closing price of the Issuer's common stock on February 8, 2013. |
(6) | Each restricted stock unit ("RSU") represents the right to receive one share of the Issuer's common stock RSUs vest and are settled in three equal installments on each of February 11, 2013, 2014 and 2015, subject to the terms of the Issuer's Omnibus Incentive Plan and the applicable award agreement issued thereunder. The amount of the award was determined in part by reference to the closing price of the Issuer's common stock on February 8, 2013. |