4//SEC Filing
NYSE Euronext 4
Accession 0001127602-07-003099
CIK 0001368007operating
Filed
Jul 29, 8:00 PM ET
Accepted
Jul 30, 6:24 PM ET
Size
14.8 KB
Accession
0001127602-07-003099
Insider Transaction Report
Form 4
Harry Serge
Deputy Head of Corp Strategy
Transactions
- Other
Units - Euronext Growth Fund
2007-04-04+4,291→ 4,291 total - Small Acquisition
Common Stock, par value $0.01 per share
2007-04-05$95.84/sh+33$3,163→ 33 total(indirect: See Footnote) - Award
Common Stock, par value $0.01 per share
2007-04-04+73,544→ 73,544 total - Other
Units - Parisbourse Action Fund
2007-04-04+4,616→ 4,616 total - Award
Common Stock, par value $0.01 per share
2007-07-26+10,106→ 83,650 total
Footnotes (9)
- [F1]The Euronext Growth Fund is a fund instituted for the benefit of Euronext N.V. employees that principally holds shares of the Issuer. Based on information received from the Fund, one Unit of the Fund represents an interest in approximately 1.267 shares of Issuer Common Stock. Participants in the Fund receive cash upon withdrawal of units in the Fund.
- [F2]Prior to 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., Units in the Fund represented interests in ordinary shares of Euronext N.V. Upon the consummation of such transactions, the ordinary shares of Euronext N.V. converted to shares of common stock of the Issuer.
- [F3]The Parisbourse Action Fund is a fund instituted for the benefit of Euronext N.V. employees that principally holds shares of the Issuer. Based on information received from the Fund, one Unit of the Fund represents an interest in approximately 1.267 shares of Issuer Common Stock. Participants in the Fund receive cash upon withdrawal of units in the Fund. 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 fund, and disclaims beneficial ownership of shares of the Parisbourse Action Fund beyond the extent of his pecuniary interest therein.
- [F4]Previously reported on Form 3 dated April 3, 2007.
- [F5]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.
- [F6]Acquired on the Reporting Person's behalf by the manager of the Elements Plan using the Reporting Person's funds.
- [F7]71.80 euros per share (US$95.84 using the rate of exchange in effect on April 5, 2007)
- [F8]Represents shares of Issuer Common Stock held in the Elements Plan, an employee benefit plan sponsored by Euronext N.V., a subsidiary of the Issuer but managed by an independent third party. The plan provides for employer equity contributions under certain circumstances.
- [F9]Represents the acquisition of shares of common stock of the Issuer resulting from the vesting of performance shares awarded to the Reporting Person under the Euronext Executive Incentive Plan (the "Plan"). On June 6, 2007, the Issuer's Human Resources and Compensation Committee, consisting entirely of independent directors, voted to permit participants under the Plan, including the Reporting Person, to elect to accelerate the vesting of their awards made in 2005 at 100% of the target level of the award, or to continue to hold the same award subject to the terms of the Plan as amended on April 4, 2007 in connection with the combination of NYSE Group, Inc. and Euronext N.V. On the Transaction Date, the Reporting Person elected to accelerate the vesting of his 2005 award. The shares of common stock underlying the 2005 award are expected to be delivered on or about August 3, 2007, and will remain subject to transfer restrictions through December 31, 2007.
Documents
Issuer
NYSE Euronext
CIK 0001368007
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001368007
Filing Metadata
- Form type
- 4
- Filed
- Jul 29, 8:00 PM ET
- Accepted
- Jul 30, 6:24 PM ET
- Size
- 14.8 KB