SEC Form 4 · accession 0001104659-17-013631
Cboe Global Markets, Inc. · CBOE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald T O'Connell
Officer — Former Executive VP and CIO
Period of report
Feb 28, 2017
Accepted (ET)
Mar 2, 2017 · 8:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001374310
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 28, 2017 | M | 1,830 | — | A | 68,443 | D | |
| Common StockF2 | Feb 28, 2017 | F | 837 | $78.05 | D | 67,606 | D | |
| Common StockF1 | Feb 28, 2017 | M | 3,668 | — | A | 71,274 | D | |
| Common StockF2 | Feb 28, 2017 | F | 1,677 | $78.05 | D | 69,597 | D | |
| Common StockF1 | Feb 28, 2017 | M | 4,229 | — | A | 73,826 | D | |
| Common StockF2 | Feb 28, 2017 | F | 1,933 | $78.05 | D | 71,893 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3 | — | Feb 28, 2017 | M | 1,830 | D | Feb 28, 2017 | Feb 28, 2017 | Common Stock | 1,830 | 0 | D |
| Restricted Stock UnitF3 | — | Feb 28, 2017 | M | 3,668 | D | Feb 28, 2017 | Feb 28, 2017 | Common Stock | 3,668 | 0 | D |
| Restricted Stock UnitF3 | — | Feb 28, 2017 | M | 4,229 | D | Feb 28, 2017 | Feb 28, 2017 | Common Stock | 4,229 | 0 | D |
Explanation of responses
- F1Represents shares of the Issuer's common stock issued to the Reporting Person pursuant to the terms of the Reporting Person's retirement agreement with the Issuer which provided for the accelerated vesting of the restricted stock unit awards that were awarded to the Reporting Person.
- F2Represents shares of the Issuer's common stock withheld to satisfy the Issuer's tax withholding obligations upon the accelerated vesting of restricted stock unit awards and the issuance of underlying shares of the Issuer's common stock.
- F3Each restricted stock unit represents a contingent right to receive one share of CBOE Holdings, Inc. common stock.