Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cboe Global Markets, Inc.CBOE · Entity 3134 | EVP, President BIDS Trading | May 13, 2021 | May 17, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cboe Global Markets, Inc.
Report date May 13, 2021 · Filed May 17, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 1,760 |
Reported balance
After 2021-05-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-13 · Grant · Acquired 1,760 · Balance 1,760 F1: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2: The restricted stock units vest on May 13, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock.
F2: The restricted stock units vest on May 13, 2024.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Bats Global Markets, Inc.
Report date February 28, 2017 · Filed March 02, 2017
Section 16 reporting ended · disclosed 2017-03-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-02-28 transaction · row 1
1 source rowRow 1 · 2017-02-28 · Disposition to issuer · Disposed 189,779 · Balance 0 F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a)0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2: Includes: 10,351 shares of restricted Common Stock that are scheduled to vest 1/31/2018; 8,984 shares of restricted Common Stock that are scheduled to vest 12/1/2018; 22,665 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 14,433 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 83,877 shares of restricted Common Stock that are scheduled to vest 1/13/2020. F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding award of restricted Common Stock held by the Reporting Person will be cancelled and converted into an award of restricted shares of CBOE Common Stock, subject to the same terms and conditions that applied to the applicable restricted Common Stock award immediately prior to the Effective Time (but taking into account any changes, including any acceleration of vesting of such shares of restricted Common Stock, occurring by reason provided for in the Merger Agreement). The number of shares of CBOE Common Stock subject to each such award shall be equal to the number of shares of Common Stock subject to the corresponding restricted Common Stock award multiplied by the Exchange Ratio. |
Filing footnotes · ownership attribution and instrument terms
F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a)0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio").
F2: Includes: 10,351 shares of restricted Common Stock that are scheduled to vest 1/31/2018; 8,984 shares of restricted Common Stock that are scheduled to vest 12/1/2018; 22,665 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 14,433 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 83,877 shares of restricted Common Stock that are scheduled to vest 1/13/2020.
F3: Pursuant to the Merger Agreement, at the Effective Time, each outstanding award of restricted Common Stock held by the Reporting Person will be cancelled and converted into an award of restricted shares of CBOE Common Stock, subject to the same terms and conditions that applied to the applicable restricted Common Stock award immediately prior to the Effective Time (but taking into account any changes, including any acceleration of vesting of such shares of restricted Common Stock, occurring by reason provided for in the Merger Agreement). The number of shares of CBOE Common Stock subject to each such award shall be equal to the number of shares of Common Stock subject to the corresponding restricted Common Stock award multiplied by the Exchange Ratio.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 13, 2021 Filed May 17, 2021 16:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 1,760 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-005410 · edgar.xml · derivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, President BIDS Trading 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,760 Underlying: Common Stock · 1,760 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.exercise_date: The restricted stock units vest on May 13, 2024. F2 · derivative.expiration_date: The restricted stock units vest on May 13, 2024. Read SEC document |
| May 06, 2021 Filed May 10, 2021 16:05 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 3,678 | $110.00 | $404,580.00 |
DisclosureSEC source: 0001179110-21-005048 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, President BIDS Trading 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,411 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2020. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 3,978 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · derivative · entry 10 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,978 Underlying: Common Stock · 3,978 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F5 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2022. F5 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2022. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 878 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · derivative · entry 9 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,758 Underlying: Common Stock · 878 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2021. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 1,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · derivative · entry 8 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,053 Underlying: Common Stock · 1,053 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2020. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 852 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · derivative · entry 7 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 852 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2019. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 336 | $96.22 | $32,329.92 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 6 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,089 Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 878 | $96.22 | $84,481.16 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 5 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,425 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 403 | $96.22 | $38,776.66 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 4 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,547 Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 1,053 | $96.22 | $101,319.66 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,950 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 326 | $96.22 | $31,367.72 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,897 Read SEC document |
| February 19, 2021 Filed Feb 23, 2021 18:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 852 | $96.22 | $81,979.44 |
DisclosureSEC source: 0001179110-21-002161 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,223 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 17:20 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,060 | $90.29 | $95,707.40 |
DisclosureSEC source: 0001179110-21-001624 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,371 F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy the Issuer's tax withholding obligation upon the vesting of PSUs and the issuance of the underlying shares of the Issuer's common stock. Read SEC document |
| February 10, 2021 Filed Feb 12, 2021 17:20 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantCommon Stock | 2,660 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-001624 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,431 F1 · kind: Represents shares of the Issuer's common stock issued to the Reporting Person pursuant to the vesting of the restricted stock unit awards - performance based ("PSU") that were awarded to the Reporting Person on February 19, 2018. The issuance was based on the level of achievement by the Issuer of certain pre-established performance metrics for the performance period January 1, 2018 to December 31, 2020 as determined by the Compensation Committee on February 10, 2021. Read SEC document |
| January 12, 2021 Filed Jan 13, 2021 17:08 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 3,678 | $100.00 | $367,800.00 |
DisclosureSEC source: 0001179110-21-000583 · edgar.xml · nonDerivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,771 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2020. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 17:08 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 1,316 | $98.01 | $128,981.16 |
DisclosureSEC source: 0001179110-21-000583 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,449 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2020. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.00 to $98.24. The reporting person undertakes to provide to Cboe Global Markets, Inc., any security holder of Cboe Global Markets, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| January 11, 2021 Filed Jan 13, 2021 17:08 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 2,362 | $97.20 | $229,586.40 |
DisclosureSEC source: 0001179110-21-000583 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,765 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.00 to $97.95. The reporting person undertakes to provide to Cboe Global Markets, Inc., any security holder of Cboe Global Markets, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 6,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · derivative · entry 6 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,219 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F3 · derivative.expiration_date: The restricted stock units vest in whole on February 28, 2020. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 2,073 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · derivative · entry 5 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,073 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 28, 2018. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,310 | $114.00 | $377,340.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · nonDerivative · entry 4 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,127 Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 6,219 | $114.00 | $708,966.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · nonDerivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,437 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,104 | $114.00 | $125,856.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,218 Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 16:16 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 2,073 | $114.00 | $236,322.00 |
DisclosureSEC source: 0001179110-20-002813 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,322 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 2,636 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · derivative · entry 7 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,636 Underlying: Common Stock · 2,636 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2021. F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2021. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 1,052 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · derivative · entry 6 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,106 Underlying: Common Stock · 1,052 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2020. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 851 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · derivative · entry 5 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 852 Underlying: Common Stock · 851 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2019. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 560 | $120.44 | $67,446.40 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · nonDerivative · entry 4 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,249 Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 1,052 | $120.44 | $126,702.88 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · nonDerivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,809 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 453 | $120.44 | $54,559.32 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,757 Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 16:35 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 851 | $120.44 | $102,494.44 |
DisclosureSEC source: 0001179110-20-002027 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,210 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 17:06 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 592 | $115.09 | $68,133.28 |
DisclosureSEC source: 0001179110-20-000582 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,359 Read SEC document |
| January 13, 2020 Filed Jan 15, 2020 17:06 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 4,779 | $115.09 | $550,015.11 |
DisclosureSEC source: 0001179110-20-000582 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,951 Read SEC document |
| December 15, 2019 Filed Dec 17, 2019 16:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,140 | $115.50 | $131,670.00 |
DisclosureSEC source: 0001179110-19-012915 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,730 Read SEC document |
| December 01, 2019 Filed Dec 3, 2019 16:23 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,791 | $118.90 | $212,949.90 |
DisclosureSEC source: 0001179110-19-012236 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,870 Read SEC document |
| May 22, 2019 Filed May 23, 2019 17:00 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 4,300 | $106.71 | $458,853.00 |
DisclosureSEC source: 0001179110-19-006586 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,661 Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 16:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 2,073 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-003032 · edgar.xml · derivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,073 Underlying: Common Stock · 2,073 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 28, 2018. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 16:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,104 | $95.91 | $105,884.64 |
DisclosureSEC source: 0001179110-19-003032 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,267 Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 16:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 2,073 | $95.91 | $198,821.43 |
DisclosureSEC source: 0001179110-19-003032 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,371 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 16:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stok Units · Derivative | 3,158 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002225 · edgar.xml · derivative · entry 5 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,158 Underlying: Common Stock · 3,158 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F4 · derivative.exercise_date: The restricted stock units vest on February 19, 2022. F4 · derivative.expiration_date: The restricted stock units vest on February 19, 2022. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 16:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 3,158 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002225 · edgar.xml · derivative · entry 4 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,158 Underlying: Common Stock · 3,158 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F3 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2020. F3 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2020. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 16:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 851 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002225 · edgar.xml · derivative · entry 3 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,703 Underlying: Common Stock · 851 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, which began on February 19, 2019. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 16:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 453 | $94.16 | $42,654.48 |
DisclosureSEC source: 0001179110-19-002225 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,298 Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 16:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 851 | $94.16 | $80,130.16 |
DisclosureSEC source: 0001179110-19-002225 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,751 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 13, 2019 Filed Jan 15, 2019 17:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 592 | $91.39 | $54,102.88 |
DisclosureSEC source: 0001179110-19-000729 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,900 Read SEC document |
| January 13, 2019 Filed Jan 15, 2019 17:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 4,451 | $91.39 | $406,776.89 |
DisclosureSEC source: 0001179110-19-000729 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,492 Read SEC document |
| December 15, 2018 Filed Dec 18, 2018 20:08 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,140 | $100.89 | $115,014.60 |
DisclosureSEC source: 0001179110-18-014096 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,943 Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 16:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,791 | $107.62 | $192,747.42 |
DisclosureSEC source: 0001179110-18-013402 · edgar.xml · nonDerivative · entry 2 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,083 Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 16:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 1,065 | $107.62 | $114,615.30 |
DisclosureSEC source: 0001179110-18-013402 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Co-Head of Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,874 Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:17 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerCommon Stock | 189,779 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-003553 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of US Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a)0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2 · shares: Includes: 10,351 shares of restricted Common Stock that are scheduled to vest 1/31/2018; 8,984 shares of restricted Common Stock that are scheduled to vest 12/1/2018; 22,665 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 14,433 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 83,877 shares of restricted Common Stock that are scheduled to vest 1/13/2020. F1 · price: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a)0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding award of restricted Common Stock held by the Reporting Person will be cancelled and converted into an award of restricted shares of CBOE Common Stock, subject to the same terms and conditions that applied to the applicable restricted Common Stock award immediately prior to the Effective Time (but taking into account any changes, including any acceleration of vesting of such shares of restricted Common Stock, occurring by reason provided for in the Merger Agreement). The number of shares of CBOE Common Stock subject to each such award shall be equal to the number of shares of Common Stock subject to the corresponding restricted Common Stock award multiplied by the Exchange Ratio. Read SEC document |
| January 31, 2017 Filed Feb 2, 2017 15:04 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Tax withholdingCommon Stock | 5,200 | $35.45 | $184,340.00 |
DisclosureSEC source: 0001179110-17-001465 · edgar.xml · nonDerivative · entry 1 Harkins Bryan · CIK 0001667178 · EVP, Head of US Markets 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,779 F1 · shares: These shares were withheld by the Issuer to satisfy the tax withholding requirement arising from the vesting of restricted shares granted to the reporting person under the Issuer's Third Amended and Restated 2012 Equity Incentive Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.