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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) | $ 20.25 | 03/07/2006 | A | 72,222 (2) | (2) | 08/22/2010 | Common Stock, par value $0.01 per share | 72,222 | $ 0 | 72,222 | D | ||||
Employee Stock Options (right to buy) | $ 4.91 | 03/07/2006 | A | 22,222 (2) | (2) | 08/11/2013 | Common Stock, par value $0.01 per share | 22,222 | $ 0 | 22,222 | D | ||||
Employee Stock Options (right to buy) | $ 6.26 | 03/07/2006 | A | 22,222 (2) | (2) | 08/11/2013 | Common Stock, par value $0.01 per share | 22,222 | $ 0 | 22,222 | D | ||||
Employee Stock Options (right to buy) | $ 13.41 | 03/07/2006 | A | 77,778 (3) | (3) | 11/18/2013 | Common Stock, par value $0.01 per share | 77,778 | $ 0 | 77,778 | D | ||||
Employee Stock Options (right to buy) | $ 11.5 | 03/07/2006 | A | 70,000 (4) | (4) | 08/11/2014 | Common Stock, par value $0.01 per share | 70,000 | $ 0 | 70,000 | D | ||||
Employee Stock Options (right to buy) | $ 19.3 | 03/07/2006 | A | 25,648 (5) | (5) | 03/16/2015 | Common Stock, par value $0.01 per share | 25,648 | $ 0 | 25,648 | D | ||||
Employee Stock Options (right to buy) | $ 4.91 | 04/27/2006 | M | 22,222 | (2) | 08/11/2013 | Common Stock, par value $0.01 per share | 22,222 | $ 0 | 0 | D | ||||
Employee Stock Options (right to buy) | $ 6.26 | 04/27/2006 | M | 22,222 | (2) | 08/11/2013 | Common Stock, par value $0.01 per share | 22,222 | $ 0 | 0 | D | ||||
Employee Stock Options (right to buy) | $ 11.5 | 04/27/2006 | M | 48,847 | (4) | 08/11/2014 | Common Stock, par value $0.01 per share | 48,847 | $ 0 | 21,153 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chai Nelson C/O NYSE GROUP, INC. 11 WALL STREET NEW YORK, NY 10005 |
Exec. VP and CFO |
Cornelius M. Courtney under POA dated 3/7/2006 | 05/01/2006 | |
**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) | Received in exchange for an equal number of shares of common stock of Archipelago Holdings, Inc. in connection with the merger of the New York Stock Exchange, Inc. and Archipelago Holdings, Inc. On the effective date of the merger, the closing price of the common stock of Archipelago Holdings, Inc. was $64.25 per share. Reported on Form 3 dated March 7, 2006. |
(2) | Received in exchange for an equivalent option award to acquire an equal number of shares of Archipelago Holdings, Inc. at the same exercise price. These options are currently exercisable. Reported on Form 3 dated March 7, 2006. |
(3) | Received in exchange for an equivalent option award to acquire an equal number of shares of Archipelago Holdings, Inc. at the same exercise price, of which 68,056 are exercisable, and 9,722 are scheduled to become exercisable in four equal annual installments over a four year period from November 19, 2003, the date of grant of the predecessor options. Reported on Form 3 dated March 7, 2006. |
(4) | Received in exchange for an equivalent option award to acquire an equal number of shares of Archipelago Holdings, Inc. at the same exercise price, of which 56,875 are exercisable, and 13,125 are scheduled to become exercisable in four equal annual installments over a four year period from August 12, 2004, the date of grant of the predecessor options. Reported on Form 3 dated March 7, 2006. |
(5) | Received in exchange for an equivalent option award to acquire an equal number of shares of Archipelago Holdings, Inc. at the same exercise price, of which 19,236 are exercisable, and 6,412 are scheduled to become exercisable in four equal annual installments over a four year period from March 17, 2005, the date of grant of the predecessor options. Reported on Form 3 dated March 7, 2006. |