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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 (5) | (2) | 05/15/2008 | M | 15,159 (5) | 04/04/2007 | 09/17/2011 | Ordinary Shares - Euronext, N.V. (5) | 12,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harry Serge C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
Deputy Head of Corp Strategy |
C.M. Courtney under POA dated March 27, 2007 | 05/19/2008 | |
**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) | Euronext, N.V. is a subsidiary of the Issuer. |
(2) | 22.28 Euros per ordinary share of Euronext, N.V. |
(3) | The date of final judgment of the Enterprise Chamber of the Amsterdam Court of Appeals on the matter of the statutory buy-out of the remaining minority Euronext shareholders holding approximately 2% of the shares of Euronext, N.V., setting the terms on which those shares will be acquired by the Issuer. Payment for such shares is expected to be made on or about May 20, 2008. |
(4) | 94.13 euros (Approx US$ 145.32) per ordinary share of Euronext, N.V. Includes accrued interest from May 15, 2008 through May 19, 2008. |
(5) | Represents options to acquire 12,000 ordinary shares of Euronext, N. V., a subsidiary of the Issuer. The number reported here and in prior filings is the approximate number of shares of Issuer Common Stock that 12,000 shares of Euronext, N.V. would have been converted into had those shares been exchanged at the time of consummation, on April 4, 2007, of the transactions contemplated by the Amended and Restated Combination Agreement dated November 27, 2007, by and among the Issuer, NYSE Group, Inc., Euronext, N.V. and Jefferson Merger Sub, Inc. |