0001104659-17-013670.txt : 20170302 0001104659-17-013670.hdr.sgml : 20170302 20170302211243 ACCESSION NUMBER: 0001104659-17-013670 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: Isaacson Christopher A CENTRAL INDEX KEY: 0001538451 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34774 FILM NUMBER: 17661320 MAIL ADDRESS: STREET 1: 8050 MARSHALL DRIVE STREET 2: SUITE 120 CITY: LENEXA STATE: KS ZIP: 66214 FORMER NAME: FORMER CONFORMED NAME: Isaacson Chris A DATE OF NAME CHANGE: 20111229 4 1 a4.xml 4 X0306 4 2017-02-28 0 0001374310 CBOE Holdings, Inc. CBOE 0001538451 Isaacson Christopher A C/O CBOE HOLDINGS, INC. 400 SOUTH LASALLE STREET CHICAGO IL 60605 0 1 0 0 EVP, CIO Common Stock 2017-02-28 4 A 0 98191 A 98191 D Restricted Stock Units 2017-02-28 4 A 0 6219 0 A Common Stock 6219 6219 D Restricted Stock Units 2017-02-28 4 A 0 3110 0 A Common Stock 3110 3110 D Stock Option 12.63 2017-02-28 4 A 0 14039 0 A 2017-02-28 2019-04-30 Common Stock 14039 14039 D Stock Option 22.08 2017-02-28 4 A 0 56159 0 A 2017-02-28 2020-01-31 Common Stock 56159 56159 D Received upon conversion of 232,794 shares of Bats Global Markets, Inc. ("Bats") common stock, including 120,086 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 1,378 shares of unvested restricted stock, which vest on December 1, 2017; 4,443 shares of unvested restricted stock, half of which vest on each of December 1, 2017 and December 1, 2018; 2,453 shares of unvested restricted stock, a third of which vest on each of December 1, 2017, December 1, 2018 and December 1, 2019; 34,007 shares of unvested restricted stock, a third of which will vest on each of January 13, 2018, January 13, 2019 and January 13, 2020; 3,158 shares of unvested restricted stock, which vest ratably over three years; and 3,334 shares of unvested restricted stock granted on January 13, 2017, 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. /s/ Patrick Sexton 2017-03-02