SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
 |
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
| ONE NORTH END AVENUE |
| WORLD FINANCIAL CENTER |
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
NYMEX HOLDINGS INC
[ NMX ]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Chief Financial Officer |
|
3. Date of Earliest Transaction
(Month/Day/Year)
11/19/2007
|
4. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
|
2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
|
4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
|
5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
7. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
11/19/2007 |
|
M |
|
1,750 |
A |
|
1,750 |
D |
|
| Common Stock |
11/19/2007 |
|
M
|
|
16,250 |
A |
$59
|
18,000 |
D |
|
| Common Stock |
11/19/2007 |
|
S
|
|
18,000
|
D |
$121.8923
|
0 |
D |
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
|
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
|
6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
|
8. Price of Derivative Security (Instr.
5)
|
9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
|
10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
|
11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Restricted Stock Units |
|
11/19/2007 |
|
M |
|
|
1,750 |
|
|
Common Stock |
1,750 |
|
5,250 |
D |
|
| Stock Option (right to buy) |
$59
|
11/19/2007 |
|
M
|
|
|
16,250 |
|
11/17/2014 |
Common Stock |
16,250 |
|
48,750 |
D |
|
| Explanation of Responses: |
|
|
|
|
|
|
|
Kenneth D. Shifrin |
11/21/2007 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
rrd159309_179902.html
Exhibit 99.1
Name and Address of Reporting Person: Kenneth D. Shifrin
One North End Avenue
World Financial Center
New York, NY 10282
Issuer Name and Ticker or Trading Symbol: NYMEX Holdings, Inc. [NMX]
Date of Earliest Transaction Required
to be Reported (Month/Day/Year): 11/19/2007
Specific share and price information for the sales by the Reporting Person
are set forth below:
Shares Price
------ -----
59 $119.8500
39 $119.8800
39 $119.8900
20 $119.9100
20 $119.9500
197 $120.0000
334 $120.0000
984 $120.0000
20 $120.0100
39 $120.0200
39 $120.0200
177 $120.0300
295 $120.0300
295 $120.0300
20 $120.0600
39 $120.0700
39 $120.0800
39 $120.0800
20 $120.0900
39 $120.1800
20 $120.1900
20 $120.1900
197 $120.2000
39 $120.2000
10 $120.2200
20 $120.2300
197 $120.2500
177 $120.2600
39 $120.2700
39 $120.3000
216 $120.3000
39 $120.3600
197 $120.3700
20 $120.3700
20 $120.4100
39 $120.4300
39 $120.4400
79 $120.4900
20 $120.4900
20 $120.5000
20 $120.5100
177 $120.5100
98 $120.5500
59 $120.5800
59 $120.6100
20 $120.6100
20 $120.8300
39 $120.9000
20 $121.0500
20 $121.0600
118 $121.1000
39 $121.1000
79 $121.1000
236 $121.1100
20 $121.1200
39 $121.1200
79 $121.1300
98 $121.1300
118 $121.1300
157 $121.1300
39 $121.1500
20 $121.1600
118 $121.1800
20 $121.2300
20 $121.2700
79 $121.2900
39 $121.3400
138 $121.3500
20 $121.3900
59 $121.4300
59 $121.4500
39 $121.4800
20 $121.4900
98 $121.5000
39 $121.6200
39 $121.6400
138 $121.6500
59 $121.6600
39 $121.6800
157 $121.6900
20 $121.7100
20 $121.7200
39 $121.7300
20 $121.8200
492 $122.0000
531 $122.0000
492 $122.0000
689 $122.0000
541 $122.0000
177 $122.0100
79 $122.0100
79 $122.0100
59 $122.0100
20 $122.0200
20 $122.0200
20 $122.0300
20 $122.0900
20 $122.1000
10 $122.1000
20 $122.1100
157 $122.1200
36 $122.1200
39 $122.1300
157 $122.1300
79 $122.1300
177 $122.1400
82 $122.1400
20 $122.1400
20 $122.1500
20 $122.1500
79 $122.1600
197 $122.1700
20 $122.1800
138 $122.1800
79 $122.1900
39 $122.1900
20 $122.2400
39 $122.2500
79 $122.2600
98 $122.2700
197 $122.3000
20 $122.3300
98 $122.3600
20 $122.3600
39 $122.4000
59 $122.4000
59 $122.4200
39 $122.4300
20 $122.4400
98 $122.4500
108 $122.5000
20 $122.5100
20 $122.5800
20 $122.7500
49 $122.7700
20 $122.8000
118 $122.9400
20 $122.9600
20 $122.9600
20 $122.9700
39 $122.9800
39 $122.9800
39 $122.9800
20 $122.9900
39 $123.0000
59 $123.0000
39 $123.0000
79 $123.0100
20 $123.0100
216 $123.0100
39 $123.0100
138 $123.0200
39 $123.0300
20 $123.0400
20 $123.0400
39 $123.0500
39 $123.0600
79 $123.0600
138 $123.0800
20 $123.0900
20 $123.0900
79 $123.1100
20 $123.1100
20 $123.1200
39 $123.1300
79 $123.1400
20 $123.1500
236 $123.1800
216 $123.1800
59 $123.1800
59 $123.2000
138 $123.2000
20 $123.2000
472 $123.2100
20 $123.2300
157 $123.2400
20 $123.2400
256 $123.2400
216 $123.2400
59 $123.3700
20 $123.4000
79 $123.4000
98 $123.4400
39 $123.4800
79 $123.5000
59 $123.5500
39 $123.6000
138 $123.6400
157 $123.7000
20 $123.8000
20 $123.8600
275 $124.0000
20 $124.0000
39 $124.0100
20 $124.7200
39 $124.7300
122 $124.8000
55 $124.8900
20 $125.0000
20 $125.0000
59 $125.0100
59 $125.0300
49 $125.0600
20 $125.0900
138 $125.1000
