RATTERMAN JOSEPH P

SEC source: 0001415889-23-016477 · form4-12142023_091220.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 20,515

F1 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustees of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001415889-23-008866 · form4-05262023_080557.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 22,615

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.78 to $136.15. 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.

F2 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustees of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001415889-23-008023 · form4-05152023_080511.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,671

F1 · price: Represents a restricted stock unit award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3. Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock that will vest on May 11, 2024, provided that the filing person has remained in service continuously through such date.

SEC source: 0001415889-22-005793 · form4-05272022_010549.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,448

F1 · shares: On May 23, 2022, the reporting person transferred 2,758 shares of common stock to the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008.

SEC source: 0001415889-22-005025 · form4-05162022_010555.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,206

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-21-005400 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,758

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-20-006977 · edgar.xml · nonDerivative · entry 4

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 34,857

F1 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-20-006977 · edgar.xml · nonDerivative · entry 3

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,482

SEC source: 0001179110-20-006977 · edgar.xml · nonDerivative · entry 2

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,621

F1 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-20-006977 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,718

SEC source: 0001179110-20-005988 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,281

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-19-006400 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,799

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-18-007224 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,563

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-17-015073 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 31,058

F1 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-17-011955 · edgar.xml · nonDerivative · entry 3

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 55,458

F2 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-17-007753 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,175

F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3.

SEC source: 0001179110-17-007327 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 55,738

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.89 to $84.43. The reporting person undertakes to provide to CBOE Holdings, Inc., any security holder of CBOE Holdings, 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.

F2 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-17-011955 · edgar.xml · nonDerivative · entry 2

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 66,458

F1 · balance_after: Represents the amount of securities beneficially owned reflecting previously reported transactions.

F2 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-17-011955 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,455

F1 · balance_after: Represents the amount of securities beneficially owned reflecting previously reported transactions.

SEC source: 0001104659-17-013639 · a4.xml · nonDerivative · entry 3

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,683

F3 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan.

SEC source: 0001104659-17-013639 · a4.xml · nonDerivative · entry 2

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 242,413

F1 · shares: Received upon conversion of 778,126 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, 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.

F1 · price: Received upon conversion of 778,126 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, 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 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustess of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008 or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001104659-17-013639 · a4.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,720

F1 · shares: Received upon conversion of 778,126 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, 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.

F1 · price: Received upon conversion of 778,126 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, 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.

SEC source: 0001179110-17-003563 · edgar.xml · nonDerivative · entry 2

RATTERMAN JOSEPH P · CIK 0001163949 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

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").

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 · ownership.nature: Shares are held of record by Joseph P. Ratterman and Sandra M. Ratterman, as Trustees of the Joseph P. and Sandra M. Ratterman Trust dated September 15, 2008, or their successors in Trust. Mr. Ratterman disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interests therein.

SEC source: 0001179110-17-003563 · edgar.xml · nonDerivative · entry 1

RATTERMAN JOSEPH P · CIK 0001163949 · Director

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: 7,058 shares of restricted Common Stock that will immediately vest at the Effective Time.

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").