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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 | ||||||||
Restricted Stock Units | (4) | 12/11/2008 | J | 13,251 | (5) | (5) | Common Stock | 13,251 | $ 0 | 2,618 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FORD WILLIAM E GENERAL ATLANTIC SERVICE COMPANY, LLC 3 PICKWICK PLAZA GREENWICH, CT 06830 |
X |
/s/ William E. Ford | 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, on December 11, 2008 13,251 Restricted Stock Units ("RSU") issued under the NYSE Euronext 2008 Omnibus Incentive Plan (the "plan") were mistakenly converted into common stock of the Issuer. In order to avoid or minimize penalty taxes that would be imposed under Section 409A of the Internal Revenue Code as a result of the mistaken conversion of the RSUs into common stock, the Issuer and the Reporting Person followed the correction procedures set forth in IRS Notice 2008-113. These procedures required the Reporting Person to transfer the shares received upon the mistaken conversion of the RSUs to the Issuer (the June 4, 2009 transfer). Thereafter, the Issuer issued new shares to the Reporting Person in accordance with the plan (the June 16, 2009 issuance). Neither the Reporting Person nor the Issuer paid any consideration in connection with these transfers. |
(2) | These shares were returned to the Issuer on June 4, 2008 in order to correct the administrative error. |
(3) | Amount reported represents the shares of common stock that were received by the Reporting Person upon the mistaken conversion of the RSUs. |
(4) | Each RSU represents the right to receive one share of common stock upon vesting. |
(5) | These RSUs were mistakenly converted into shares of common stock of the Issuer. |