|
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 | (3) | 12/11/2008 | J | 12,370 | (4) | (4) | Common Stock, par value $0.01 per share | 12,370 | $ 0 | 2,618 | D | ||||
| Restricted Stock Units | (3) | 06/05/2009 | J | 12,370 | (5) | (5) | Common Stock, par value $0.01 per share | 12,370 | $ 0 | 19,066 (6) | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| MCNULTY JAMES J C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
X | |||
| Janet M. Kissane under POA dated April 4, 2007 | 11/06/2009 | |
| **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) | As a result of an administrative error by the Issuer, 12,370 Restricted Stock Units (RSUs) under the NSYE Euronext 2008 Omnibus Incentive Plan (Plan) were mistakenly converted into common stock of the Issuer. As described in note (2), these shares of common stock were returned to the Issuer and the shares were converted back into RSUs to restore the RSUs to the Reporting Person's RSU account under the Plan, thereby correcting the administrative error. |
| (2) | These shares of common stock are the shares that were mistakenly credited to the Reporting Person, as described in note (1). They were returned to the Issuer to be restored to RSUs, as described in note (1). |
| (3) | Each RSU under the Plan represents the right to receive one share of the Issuer's common stock. |
| (4) | These RSUs were mistakenly converted into shares of common stock of the Issuer, as described in note (1). |
| (5) | These RSUs represent the restoration of the RSUs prematurely and mistakenly converted into shares of common stock of the Issuer, as described in notes (1), (2) and (4). The RSUs are fully vested; the issuer will deliver to the Reporting Person one share of its common stock for each RSU upon the Reporting Person's termination of service on the Board of Directors for any reason other than termination for cause, which event has not occurred. |
| (6) | This total includes 4,078 RSUs awarded between the events described in notes (4) and (5), as reported on Form 4 dated April 3, 2009 |