SEC Form 4 · accession 0001179110-17-002980
Cboe Global Markets, Inc. · CBOE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan J Dean
Officer — Executive VP, CFO & Treasurer
Period of report
Feb 19, 2017
Accepted (ET)
Feb 22, 2017 · 6:39 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 Stock | Feb 19, 2017 | M | 2,337 | $80.94 | A | 60,376 | D | |
| Common Stock | Feb 19, 2017 | M | 2,088 | $80.94 | A | 62,464 | D | |
| Common Stock | Feb 19, 2017 | M | 2,265 | $80.94 | A | 64,729 | D | |
| Common Stock | Feb 19, 2017 | F | 727 | $80.94 | D | 64,002 | D | |
| Common Stock | Feb 19, 2017 | F | 816 | $80.94 | D | 63,186 | D | |
| Common Stock | Feb 19, 2017 | F | 1,036 | $80.94 | D | 62,150 | 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 UnitsF1,F2 | — | Feb 19, 2017 | M | 2,337 | D | Feb 19, 2017 | — | Common Stock | 2,337 | 0 | D |
| Restricted Stock UnitsF1,F3 | — | Feb 19, 2017 | M | 2,088 | D | Feb 19, 2017 | — | Common Stock | 2,088 | 2,088 | D |
| Restricted Stock UnitsF1,F4 | — | Feb 19, 2017 | M | 2,265 | D | Feb 19, 2017 | — | Common Stock | 2,265 | 4,532 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 19, 2017 | A | 5,224 | A | — | — | Common Stock | 5,224 | 5,224 | D |
| Restricted Stock UnitsF1,F5 | — | Feb 19, 2017 | A | 10,448 | A | — | — | Common Stock | 10,448 | 10,448 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of CBOE Holdings, Inc. common stock.
- F2The restricted stock units vest in three equal annual installments, which began on February 19, 2015.
- F3The restricted stock units vest in three equal annual installments, which began on February 19, 2016.
- F4The restricted stock units vest in three equal annual installments, which began on February 19, 2017.
- F5The restricted stock units vest in three equal annual installments beginning on February 19, 2018.