UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Options (2) | 04/04/2007 | 09/17/2011 | Common Stock, par value $0.01 per share | 15,159 | $ (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Harry Serge C/O NYSE EURONEXT 11 WALL STREET NEW YORK, NY 10005 |
 |  |  Management Committee Member |  |
C.M. Courtney under POA dated March 27, 2007 | 04/03/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Acquired in exchange for ordinary shares 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, 2007, by and among the Issuer, NYSE Group, Inc., Euronext N.V. and Jefferson Merger Sub, Inc. |
(2) | Represents options to acquire ordinary shares of Euronext N. V. If the Reporting Person takes no action with respect to these options between the date they become exercisable and the closing of the second tender offer period 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., which is expected to occur on or about April 17, 2007, depending on circumstances beyond the control of the Issuer and the Reporting Person, these options will either convert into options to purchase the number of shares of Issuer common stock indicated, or will be disposed of for cash. |
(3) | 22.28 Euros |
 Remarks: This report does not include the Reporting Person's interest in the Euronext Growth Fund and the Parisbourse Action Fund, employee benefit plans of the Issuer, the principal assets of which are cash and common stock of the Issuer. The Reporting Person is a director of the Parisbourse Action Fund, but does not control the voting or disposition of the Issuer common stock owned by the funds. This report does not include performance shares awarded to the Reporting Person under the Euronext Executive Incentive Plan. The amount of  the award under that plan is subject to future contingencies beyond the control of either the Issuer or the Reporting Person. Exhibit 24.1, Power of Attorney, is attached. |