|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Putnam Gerald D 100 SOUTH WACKER DRIVE, SUITE 1800 C/O ARCHIPELAGO HOLDINGS, INC. CHICAGO, IL 60606 |
X | Chairman & CEO |
Cynthia A. Lance under power of attorney of Gerald D. Putnam | 10/24/2005 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | 51,244 shares consist of the following trades: 12,273 @ $38.90; 40 @ $38.91; 200 @ $38.96; 1,080 @ $38.97; 4,760 @ $38.99; 12,600 @ $39.00; 40 @ $39.01; 2,720 @ $39.02; 666 @ $39.04; 5,240 @ $39.05; 3,560 @ $39.15; 3,650 @ $39.16; 1,004 @ $39.17; 2,531 @ $39.18; and 880 @ $39.19. |
(2) | Mr. Putnam and his wife indirectly own a 40% interest in TAL Financial Services LLC ("TFS"). TFS wholly owns Terra Nova Trading, LLC ("TNT"). Prior to August 2005, TNT held 240,586 shares of Archipelago common stock (the "Shares"). Mr. Putnam disclaimed beneficial ownership of the Shares. Mr. Putnam serves on a five-person committee that functions as the board of directors of TFS (the "Committee"). Investment decisions with respect to the Shares were made by majority vote of the Committee. On March 22, 2005, the Committee approved the sale of the Shares and delegated to an officer of TNT the authority to sell the Shares. Mr. Putnam did not vote on, or take any part in the discussion to approve, the sale of the Shares. The Shares were subsequently sold in August 2005. Mr. Putnam intends to use the net proceeds he receives from the sale of the Shares based on his interest in TFS to purchase shares of Archipelago common stock or NYSE Group, Inc. common stock. |
(3) | 22,264 shares consist of the following trades: 3,560 @ $38.82; 5,000 @ $38.83; 6,120 @ $38.85; 2,732 @ $38.86; 2,680 @ $38.88; and 2,172 @ $38.90. |
(4) | 22,726 shares consist of the following trades: 2,548 @ $38.50; 4,000 @ $38.51; 40 @ $38.52; 680 @ $38.53; 1,200 @ $38.54; 7,800 @ $38.55; 200 @ $38.59; 2,000 @ $38.60; 160 @ $38.61; 80 @ $38.65; 12 @ $38.68; 2,276 @ $38.69; 320 @ $38.73; 960 @ $38.75; 360 @ $38.83; 40 @ $38.85; and 50 @ $38.89. |
(5) | Held by GSP, LLC, an entity in which Mr. Putnam and his wife own a controlling interest. |