Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cboe Global Markets, Inc.CBOE · Entity 3134 | Executive VP, President Europe | December 15, 2019 | December 17, 2019 |
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 December 15, 2019 · Filed December 17, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 84,046 |
Reported balance
After 2019-12-15 transaction · row 1
1 source rowRow 1 · 2019-12-15 · Tax withholding · Disposed 930 · Balance 84,046 |
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 285,902 · 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)0.0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2: Includes: 16,015 shares of restricted Common Stock that are scheduled to vest 12/1/2017, 31,236 shares of restricted Common Stock that are scheduled to vest 12/1/2018, 38,833 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 13,326 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 59,805 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. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.83 · Expires 2020-01-31 | Direct | 0 |
Reported balance
After 2017-02-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-02-28 · Disposition to issuer · Disposed 31,535 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding unexercised option to purchase Common Stock, whether vested or unvested ("Bats Stock Options"), will be converted into an option to purchase CBOE Common Stock, with the same terms and conditions (including vesting schedule) as were applicable to such Bats Stock Option (taking into account any acceleration of vesting due to the transactions contemplated by the Merger Agreement). The number of shares of CBOE Common Stock subject to each converted option will be equal to the number of shares of Common Stock subject to the corresponding Bats Stock Option immediately prior to the Effective Time multiplied by the Exchange Ratio (subject to certain adjustments and rounding), and the exercise price of such option to purchase CBOE Common Stock will be equal to the per share exercise price under the corresponding Bats Stock Option divided by the Exchange Ratio (subject to certain adjustments and rounding). F5: The stock options were granted on 2/1/2010 and are fully vested. |
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)0.0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio").
F2: Includes: 16,015 shares of restricted Common Stock that are scheduled to vest 12/1/2017, 31,236 shares of restricted Common Stock that are scheduled to vest 12/1/2018, 38,833 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 13,326 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 59,805 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.
F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding unexercised option to purchase Common Stock, whether vested or unvested ("Bats Stock Options"), will be converted into an option to purchase CBOE Common Stock, with the same terms and conditions (including vesting schedule) as were applicable to such Bats Stock Option (taking into account any acceleration of vesting due to the transactions contemplated by the Merger Agreement). The number of shares of CBOE Common Stock subject to each converted option will be equal to the number of shares of Common Stock subject to the corresponding Bats Stock Option immediately prior to the Effective Time multiplied by the Exchange Ratio (subject to certain adjustments and rounding), and the exercise price of such option to purchase CBOE Common Stock will be equal to the per share exercise price under the corresponding Bats Stock Option divided by the Exchange Ratio (subject to certain adjustments and rounding).
F5: The stock options were granted on 2/1/2010 and are fully vested.
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 |
|---|---|---|---|---|---|---|
| December 15, 2019 Filed Dec 17, 2019 21:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 930 | $115.50 | $107,415.00 |
DisclosureSEC source: 0001179110-19-012916 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,046 Read SEC document |
| December 01, 2019 Filed Dec 3, 2019 21:25 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 2,709 | $118.90 | $322,100.10 |
DisclosureSEC source: 0001179110-19-012239 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,976 Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 21:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionStock Option · Derivative | 14,039 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001179110-19-008706 · edgar.xml · derivative · entry 3 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,039 shares Expires 2020-01-31 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 · kind: The exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 21:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 14,039 | $113.84 | $1,598,199.76 |
DisclosureSEC source: 0001179110-19-008706 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,685 F1 · kind: The exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019. F2 · balance_after: Reflects an increase of four shares to account for rounding of shares beneficially owned by the reporting person over time. Read SEC document |
| July 15, 2019 Filed Jul 17, 2019 21:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 14,039 | $22.08 | $309,981.12 |
DisclosureSEC source: 0001179110-19-008706 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,720 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 · kind: The exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 10, 2019. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 21:25 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 1,236 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-003037 · edgar.xml · derivative · entry 3 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,236 Underlying: Common Stock · 1,236 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 21:25 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 581 | $95.91 | $55,723.71 |
DisclosureSEC source: 0001179110-19-003037 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,681 Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 21:25 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 1,236 | $95.91 | $118,544.76 |
DisclosureSEC source: 0001179110-19-003037 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,262 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 21:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 4,474 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002226 · edgar.xml · derivative · entry 4 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,474 Underlying: Common Stock · 4,474 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 21:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 851 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-002226 · edgar.xml · derivative · entry 3 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,704 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 21:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 400 | $94.16 | $37,664.00 |
DisclosureSEC source: 0001179110-19-002226 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,026 Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 21:10 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 851 | $94.16 | $80,130.16 |
DisclosureSEC source: 0001179110-19-002226 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,426 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 22:11 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 366 | $91.39 | $33,448.74 |
DisclosureSEC source: 0001179110-19-000730 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,575 Read SEC document |
| January 13, 2019 Filed Jan 15, 2019 22:11 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,806 | $91.39 | $347,830.34 |
DisclosureSEC source: 0001179110-19-000730 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,941 Read SEC document |
| December 15, 2018 Filed Dec 19, 2018 01:09 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 930 | $100.89 | $93,827.70 |
DisclosureSEC source: 0001179110-18-014097 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,747 Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 21:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 2,709 | $107.62 | $291,542.58 |
DisclosureSEC source: 0001179110-18-013397 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,677 Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 21:07 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,268 | $107.62 | $351,702.16 |
DisclosureSEC source: 0001179110-18-013397 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,386 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:50 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionRestricted Stock Units · Derivative | 1,235 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-003365 · edgar.xml · derivative · entry 3 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,472 Underlying: Common Stock · 1,235 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, 2018 Filed Mar 2, 2018 22:50 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 581 | $112.01 | $65,077.81 |
DisclosureSEC source: 0001179110-18-003365 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,654 Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:50 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Exercise / conversionCommon Stock | 1,235 | $112.01 | $138,332.35 |
DisclosureSEC source: 0001179110-18-003365 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,235 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, 2018 Filed Feb 21, 2018 23:23 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 2,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-002520 · edgar.xml · derivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,555 Underlying: Common Stock · 2,555 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 in three equal annual installments beginning on February 19, 2019. F2 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on February 19, 2019. Read SEC document |
| January 13, 2018 Filed Jan 16, 2018 23:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 366 | $131.51 | $48,132.66 |
DisclosureSEC source: 0001179110-18-000893 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,000 Read SEC document |
| January 13, 2018 Filed Jan 16, 2018 23:21 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,806 | $131.51 | $500,527.06 |
DisclosureSEC source: 0001179110-18-000893 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,366 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 23:28 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 930 | $126.37 | $117,524.10 |
DisclosureSEC source: 0001179110-17-015666 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,172 Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 22:58 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 2,709 | $124.25 | $336,593.25 |
DisclosureSEC source: 0001179110-17-014959 · edgar.xml · nonDerivative · entry 3 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,102 Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 22:58 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,268 | $124.25 | $406,049.00 |
DisclosureSEC source: 0001179110-17-014959 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,811 Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 22:58 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | Tax withholdingCommon Stock | 3,352 | $124.25 | $416,486.00 |
DisclosureSEC source: 0001179110-17-014959 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · Executive VP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,079 Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:12 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantStock Option · Derivative | 14,039 | $0.00 Strike: $22.08 | $0.00 |
DisclosureSEC source: 0001104659-17-013671 · a4.xml · derivative · entry 4 Hemsley Mark S · CIK 0001537545 · EVP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,039 Underlying: Common Stock · 14,039 shares Expires 2020-01-31 F6 · security: 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. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:12 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 3,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-013671 · a4.xml · derivative · entry 3 Hemsley Mark S · CIK 0001537545 · EVP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,707 Underlying: Common Stock · 3,707 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CBOE Holdings common stock. F5 · derivative.exercise_date: The restricted stock units vest in three equal annual installments, beginning on February 28, 2018. F5 · derivative.expiration_date: The restricted stock units vest in three equal annual installments, beginning on February 28, 2018. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:12 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantRestricted Stock Units · Derivative | 7,413 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-013671 · a4.xml · derivative · entry 2 Hemsley Mark S · CIK 0001537545 · EVP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,413 Underlying: Common Stock · 7,413 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CBOE Holdings common stock. F4 · derivative.exercise_date: The restricted stock units vest on February 28, 2020. F4 · derivative.expiration_date: The restricted stock units vest on February 28, 2020. Read SEC document |
| February 28, 2017 Filed Mar 3, 2017 02:12 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantCommon Stock | 111,431 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-013671 · a4.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · EVP, President Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,431 F1 · shares: Received upon conversion of 285,902 shares of Bats Global Markets, Inc. ("Bats") common stock, included 159,215 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. F2 · shares: Includes 7,129 shares of unvested restricted stock, which vest on December 1, 2017; 13,906 shares of unvested restricted stock, half of which vest on each of December 1, 2017 and December 1, 2018; 17,288 shares of unvested restricted stock, a third of which vest on each of December 1, 2017, December 1, 2018 and December 1, 2019; 24,291 shares of unvested restricted stock, a third of which will vest on each of January 13, 2018, January 13, 2019 and January 13, 2020; 5,932 shares of unvested restricted stock, which vest ratably over three years; and 2,333 shares of unvested restricted stock, which vest ratably over three years. F1 · price: Received upon conversion of 285,902 shares of Bats Global Markets, Inc. ("Bats") common stock, included 159,215 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. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:18 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 31,535 | Not disclosed Strike: $9.83 | Not disclosed |
DisclosureSEC source: 0001179110-17-003557 · edgar.xml · derivative · entry 2 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,535 shares Expires 2020-01-31 F4 · shares: Pursuant to the Merger Agreement, at the Effective Time, each outstanding unexercised option to purchase Common Stock, whether vested or unvested ("Bats Stock Options"), will be converted into an option to purchase CBOE Common Stock, with the same terms and conditions (including vesting schedule) as were applicable to such Bats Stock Option (taking into account any acceleration of vesting due to the transactions contemplated by the Merger Agreement). The number of shares of CBOE Common Stock subject to each converted option will be equal to the number of shares of Common Stock subject to the corresponding Bats Stock Option immediately prior to the Effective Time multiplied by the Exchange Ratio (subject to certain adjustments and rounding), and the exercise price of such option to purchase CBOE Common Stock will be equal to the per share exercise price under the corresponding Bats Stock Option divided by the Exchange Ratio (subject to certain adjustments and rounding). F5 · shares: The stock options were granted on 2/1/2010 and are fully vested. F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding unexercised option to purchase Common Stock, whether vested or unvested ("Bats Stock Options"), will be converted into an option to purchase CBOE Common Stock, with the same terms and conditions (including vesting schedule) as were applicable to such Bats Stock Option (taking into account any acceleration of vesting due to the transactions contemplated by the Merger Agreement). The number of shares of CBOE Common Stock subject to each converted option will be equal to the number of shares of Common Stock subject to the corresponding Bats Stock Option immediately prior to the Effective Time multiplied by the Exchange Ratio (subject to certain adjustments and rounding), and the exercise price of such option to purchase CBOE Common Stock will be equal to the per share exercise price under the corresponding Bats Stock Option divided by the Exchange Ratio (subject to certain adjustments and rounding). F5 · derivative.exercise_date: The stock options were granted on 2/1/2010 and are fully vested. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:18 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerCommon Stock | 285,902 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-003557 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 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)0.0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2 · shares: Includes: 16,015 shares of restricted Common Stock that are scheduled to vest 12/1/2017, 31,236 shares of restricted Common Stock that are scheduled to vest 12/1/2018, 38,833 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 13,326 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 59,805 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)0.0.3201 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 13, 2017 Filed Jan 18, 2017 17:10 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | GrantCommon Stock | 5,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000999 · edgar.xml · nonDerivative · entry 2 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,902 F2 · shares: Includes 5,242 shares of unvested restricted stock that vest ratably over the next three years. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 17:10 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Tax withholdingCommon Stock | 8,548 | $33.76 | $288,580.48 |
DisclosureSEC source: 0001179110-17-000999 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,660 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 |
| December 15, 2016 Filed Dec 19, 2016 16:59 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | GrantCommon Stock | 13,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-033212 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,208 F1 · shares: Includes 13,326 shares of unvested restricted stock that vests ratably over three years. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 17:32 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Tax withholdingCommon Stock | 25,533 | $31.95 | $815,779.35 |
DisclosureSEC source: 0001179110-16-032410 · edgar.xml · nonDerivative · entry 1 Hemsley Mark S · CIK 0001537545 · EVP, CEO of Bats Europe 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,882 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. F2 · balance_after: The number of shares has been adjusted to reflect the 1-for-2.91 stock split which was consummated immediately prior to the completion of the Issuer's initial public offering. 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.