NYX » Topics » SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

This excerpt taken from the NYX DEF 14A filed Mar 2, 2009.

SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

Section 16(a) of the Exchange Act requires our directors and executive officers, and persons who own more than 10% of a registered class of our equity securities, to file reports of ownership of, and transactions in, our equity securities with the SEC. Such directors, executive officers and 10% stockholders are also required to furnish us with copies of all Section 16(a) reports they file.

Based on our records, and written representations and other information that we received during this fiscal year, we believe that during fiscal 2008 all of such reporting persons complied with all Section 16(a) reporting requirements applicable to them, except as follows:

 

   

Due to an administrative error, Michael S. Geltzeiler failed to timely report an award of restricted common stock under the NYSE Euronext 2008 Omnibus Incentive Plan. The award was subsequently reported on Form 4.

 

   

Serge Harry failed to timely report small acquisitions (Rule 16a-6 under the Exchange Act) of shares of Euronext N.V., a subsidiary of the Company, under the Elements Plan, an employee benefit plan of the Company. Pursuant to a liquidity arrangement between the Company and each Elements Plan participant, the Euronext N.V. shares were exchangable for shares of common stock. The acquisitions were subsequently reported on Form 4.

 

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Table of Contents
This excerpt taken from the NYX DEF 14A filed Apr 2, 2008.

SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

Section 16(a) of the Exchange Act requires our directors and executive officers, and persons who own more than 10% of a registered class of our equity securities, to file reports of ownership of, and transactions in, our equity securities with the SEC. Such directors, executive officers and 10% stockholders are also required to furnish us with copies of all Section 16(a) reports they file.

Based on our records, and written representations and other information that we received during this fiscal year, we believe that during fiscal 2007 all of such reporting persons complied with all Section 16(a) reporting requirements applicable to them, except as follows:

 

   

Mr. Chai, former CFO, reported sales of common stock on Form 4 one day late.

 

   

Mr. Harry failed to timely report his holdings in the Euronext Growth Fund and the Parisbourse Action Fund on his Form 4. The holdings were subsequently reported on Form 5.

 

   

Mr. Bellegarde failed to timely report his holdings in the Parisbourse Action Fund. The holdings were subsequently reported on Form 4.

 

   

Mr. Lefebvre, a former management committee member, failed to timely report an award of restricted common stock under the Euronext Executive Incentive Plan. The award was subsequently reported on Form 4.

 

   

Messrs. Bellegarde, Freedberg, Harry, Marques, Théodore and van der Does de Willebois failed to timely report awards of restricted common stock made on October 24, 2007 and on January 30, 2008, each under the Euronext Executive Incentive Plan. The October awards were subsequently reported on Form 5 and the January awards were subsequently reported on Form 4.

 

   

Mr. Bellegarde reported the tax withholding from a grant delivered on February 6, 2008 approximately one week late.

 

   

Mr. Putnam, a former executive officer, failed to file a Form 5 for 2007.

 

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Table of Contents
This excerpt taken from the NYX DEF 14A filed May 7, 2007.

Section 16(a) Beneficial Ownership Reporting Compliance

Section 16(a) of the Exchange Act requires our directors and executive officers, and persons who own more than 10% of a registered class of our equity securities, to file reports of ownership of, and transactions in, our equity securities with the SEC. Such directors, executive officers and 10% stockholders are also required to furnish us with copies of all Section 16(a) reports they file.

Prior to April 4, 2007, the date of the completion of the combination, NYSE Euronext did not have a class of securities registered under Section 12 of the Exchange Act. Consequently, no reports under Section 16(a) were filed or required to be filed with respect to any NYSE Euronext securities.

This excerpt taken from the NYX 10-K filed May 1, 2007.

Section 16(a) Beneficial Ownership Reporting Compliance

Section 16(a) of the Exchange Act requires our directors and executive officers, and persons who own more than 10% of a registered class of our equity securities, to file reports of ownership of, and transactions in, our equity securities with the SEC. Such directors, executive officers and 10% stockholders are also required to furnish us with copies of all Section 16(a) reports they file.

Prior to April 4, 2007, the date of the completion of the combination, NYSE Euronext did not have a class of securities registered under Section 12 of the Exchange Act. Consequently, no reports under Section 16(a) were filed or required to be filed with respect to any NYSE Euronext securities.

Based on a review of the copies of reports we received, and on written representations from our reporting persons, we believe that all Section 16(a) filing requirements applicable to our directors, executive officers and 10% stockholders were complied with from April 4, 2007 to the date of this proxy statement.

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