CBOE Holdings, Inc. 4
4 · CBOE Holdings, Inc. · Filed Mar 2, 2017
Insider Transaction Report
Form 4
Mitchell Christopher
Director
Transactions
- Award
Common Stock
2017-02-28+1,134,970→ 1,134,970 total(indirect: See footnotes) - Award
Common Stock
2017-02-28+270→ 1,135,240 total
Footnotes (4)
- [F1]Received upon conversion of 3,906,975 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, by and among CBOE Holdings, Inc. ("CBOE Holdings"), CBOE Corporation, CBOE V, LLC and Bats. On the effective date of the merger, the closing price of CBOE Holdings' common stock was $78.05 per share, and the closing price of Bats' common stock was $35.13.
- [F2]Spectrum Equity Investors VI, L.P. is the holder of record of 1,131,793 shares, Spectrum VI Co-Investment Fund, L.P. is the holder of record of 442 shares and Spectrum VI Investment Managers' Fund, L.P. is the holder of record of 2,735 shares.
- [F3]The general partner of Spectrum Investors VI, L.P. is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest.
- [F4]Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan.