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