0001104659-17-013669.txt : 20170302
0001104659-17-013669.hdr.sgml : 20170302
20170302211158
ACCESSION NUMBER: 0001104659-17-013669
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170228
FILED AS OF DATE: 20170302
DATE AS OF CHANGE: 20170302
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CBOE Holdings, Inc.
CENTRAL INDEX KEY: 0001374310
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
IRS NUMBER: 205446972
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 400 SOUTH LASALLE
CITY: CHICAGO
STATE: IL
ZIP: 60605
BUSINESS PHONE: 312 786 7200
MAIL ADDRESS:
STREET 1: 400 SOUTH LASALLE
CITY: CHICAGO
STATE: IL
ZIP: 60605
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CONCANNON CHRISTOPHER R
CENTRAL INDEX KEY: 0001251713
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34774
FILM NUMBER: 17661319
MAIL ADDRESS:
STREET 1: BATS GLOBAL MARKETS
STREET 2: 8050 MARSHALL DRIVE, SUITE 120
CITY: LENEXA
STATE: KS
ZIP: 66214
4
1
a4.xml
4
X0306
4
2017-02-28
0
0001374310
CBOE Holdings, Inc.
CBOE
0001251713
CONCANNON CHRISTOPHER R
C/O CBOE HOLDINGS, INC.
400 SOUTH LASELLE STREET
CHICAGO
IL
60605
0
1
0
0
President & COO
Common Stock
2017-02-28
4
A
0
164464
A
164464
D
Restricted Stock Units
2017-02-28
4
A
0
24876
0
A
Common Stock
24876
24876
D
Restricted Stock Units
2017-02-28
4
A
0
12438
0
A
Common Stock
12438
12438
D
Stock Option
28.13
2017-02-28
4
A
0
122281
0
A
2017-02-28
2024-11-30
Common Stock
122281
122281
D
Stock Option
28.13
2017-02-28
4
A
0
162136
0
A
2024-11-30
Common Stock
162136
162136
D
Received upon conversion of 400,061 shares of Bats Global Markets, Inc. ("Bats") common stock, including 291,020 Bats unvested restricted shares pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016 (the "Merger Agreement"), 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.
Includes 35,551 shares of unvested restricted stock, half of which vest on each of December 1, 2017 and December 1, 2018; 55,848 shares of unvested restricted stock, a third of which vest on each of December 1, 2017, December 1, 2018 and December 1, 2019; 31,493 shares of unvested restricted stock, which vest ratably over three years; and 6,668 shares of unvested restricted stock which vest ratably over three years.
Each restricted stock unit represents a contingent right to receive one share of CBOE Holdings common stock
The restricted stock units vest on February 28, 2020.
The restricted stock units vest in three equal annual installments, beginning on February 28, 2018.
Represents an option to purchase shares of Bats common stock that was converted to an option to purchase shares of CBOE Holdings common stock pursuant to the Merger Agreement.
Includes 50% of which are currently exercisable, 25% of which will vest on December 1, 2017 and 25% of which will vest on December 1, 2018.
Patrick Sexton
2017-03-02