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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 | ||||||||
Employee Stock Options (right to buy) (1) | (2) | 04/04/2007 | A | 50,532 | 04/04/2007 | 12/24/2011 | Common Stock, par value $0.01 per share | 50,532 | $ 0 | 50,532 | D | ||||
Employee Stock Options (right to buy) | (2) | 04/27/2007 | M | 50,532 | 04/04/2007 | 12/24/2011 | Common Stock, par value $0.01 per share | 50,532 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
van der Does de Willebois Joost C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
Management Committee Member |
/s/ C. M. Courtney under POA dated March 20, 2007 | 05/01/2007 | |
**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 options to purchase common stock of the Issuer acquired in exchange for equivalent securities of Euronext N.V. in connection with the consummation on April 4, 2007, of the transactions contemplated by the Amended and Restated Combination Agreement dated November 27, 2006, by and among the Issuer, NYSE Group, Inc., Euronext N.V. and Jefferson Merger Sub, Inc. and approved by the Issuer's Board of Directors so as to be exempt under Rule 16b-3. Previously reported on Form 3 dated April 3, 2007. This footnote corrects the disclosure in the Form 3 dated April 3, 2007, as to the date of conversion of the Euronext N.V. options. |
(2) | 17.8897 euros (US$ 24.38 at the exchange rate in effect on April 27, 2007). This footnote corrects the disclosure of the exercise price in the Form 3 dated April 3, 2007. |
(3) | 62.035 euros (US$ 84.53 at the exchange rate in effect on April 27, 2007). The sales price given is an average price per share. |