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)
| X |
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Chairman |
|
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 |
|
8,750 |
A |
|
53,750 |
D |
|
| Common Stock |
11/19/2007 |
|
M
|
|
45,000 |
A |
$59
|
98,750 |
D |
|
| Common Stock |
11/19/2007 |
|
S
|
|
53,750
|
D |
$122.5886
|
45,000 |
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 |
|
|
8,750 |
|
|
Common Stock |
8,750 |
|
26,250 |
D |
|
| Stock Option (right to buy) |
$59
|
11/19/2007 |
|
M
|
|
|
45,000 |
|
11/17/2014 |
Common Stock |
45,000 |
|
135,000 |
D |
|
| Explanation of Responses: |
|
|
|
|
|
|
|
Richard Schaeffer |
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. |
rrd159308_179895.html
Exhibit 99.1
Name and Address of Reporting Person: Richard Schaeffer
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
------ -----
42 $120.3400
166 $120.5600
208 $121.2500
375 $121.3800
416 $121.4700
333 $121.4800
291 $121.6300
337 $121.6400
291 $121.6500
42 $121.7100
83 $121.7200
333 $121.7300
83 $121.7400
416 $121.7500
333 $121.7600
416 $121.8100
208 $121.8300
250 $121.8400
38 $121.8500
83 $121.8726
250 $121.8800
166 $121.8900
248 $121.9000
832 $121.9100
83 $121.9200
250 $121.9300
375 $121.9400
375 $121.9500
583 $121.9600
125 $121.9696
707 $121.9700
125 $121.9796
375 $121.9800
166 $121.9860
291 $121.9900
624 $122.0000
375 $122.0100
416 $122.0300
166 $122.0400
83 $122.0427
208 $122.0500
208 $122.0600
42 $122.0700
208 $122.0800
416 $122.0900
250 $122.1000
42 $122.1061
83 $122.1122
125 $122.1200
460 $122.1300
375 $122.1400
291 $122.1500
125 $122.1551
1,082 $122.1600
541 $122.1700
333 $122.1800
250 $122.1900
83 $122.1950
333 $122.2000
166 $122.2100
166 $122.2200
42 $122.2230
312 $122.2300
375 $122.2400
42 $122.2410
42 $122.2700
375 $122.2800
83 $122.2846
83 $122.2900
42 $122.2922
291 $122.3000
312 $122.3100
125 $122.3300
541 $122.3400
83 $122.3500
83 $122.3600
208 $122.3700
153 $122.3800
790 $122.3900
958 $122.4000
541 $122.4100
208 $122.4200
208 $122.4300
98 $122.4400
499 $122.4500
250 $122.4600
437 $122.4700
1,122 $122.4800
458 $122.4900
680 $122.5000
208 $122.5087
360 $122.5100
791 $122.5200
874 $122.5400
42 $122.5418
458 $122.5500
83 $122.5600
716 $122.5700
583 $122.5800
375 $122.5900
624 $122.6000
499 $122.6100
333 $122.6200
624 $122.6300
42 $122.6369
125 $122.6400
125 $122.6500
416 $122.6600
42 $122.6643
416 $122.6700
291 $122.6800
125 $122.6900
166 $122.7000
624 $122.7100
325 $122.7200
458 $122.7300
270 $122.7400
29 $122.7464
375 $122.7500
42 $122.7564
333 $122.7600
166 $122.7700
125 $122.7800
499 $122.7900
83 $122.7938
166 $122.8000
166 $122.8100
42 $122.8200
83 $122.8300
125 $122.8400
291 $122.8600
250 $122.8700
333 $122.8800
166 $122.8900
42 $122.9000
549 $122.9100
450 $122.9200
458 $122.9300
416 $122.9400
42 $122.9481
699 $122.9500
416 $122.9600
83 $122.9700
333 $122.9800
166 $122.9900
42 $123.0066
166 $123.0100
291 $123.0200
42 $123.0306
174 $123.0400
250 $123.0600
83 $123.0700
125 $123.0900
166 $123.1000
42 $123.1100
83 $123.1300
125 $123.1400
166 $123.1900
83 $123.2000
83 $123.2100
83 $123.2200
208 $123.2300
416 $123.2400
291 $123.2500
42 $123.2900
125 $123.3100
83 $123.3200
166 $123.3300
250 $123.3600
291 $123.3700
83 $123.3800
399 $123.3900
166 $123.4000
125 $123.4200
250 $123.4300
125 $123.4400
291 $123.4500
42 $123.4600
42 $123.4700
125 $123.4800
83 $123.5000
42 $123.5300
208 $123.5400
309 $123.5500
206 $123.6100
125 $123.6200
83 $123.6900
42 $123.7200
83 $123.7500
330 $123.8000
544 $123.8100
44 $123.8200
42 $123.8600
166 $123.8700
375 $123.9000
42 $123.9262
125 $123.9500
208 $123.9600
125 $124.0400
208 $124.1400
166 $124.3700
208 $124.9300
250 $124.9400
83 $125.1000
499 $125.1500
83 $125.3000
42 $125.4600
