-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UjWWQcYVSbQ1ZD2k5FYmvIODkEN1nRUeUngBPtTgEvDZidjsrmwuf2BgY1+3ehOA AmEoTdcgSTOlxDa49V9e3Q== 0000099047-07-000014.txt : 20071213 0000099047-07-000014.hdr.sgml : 20071213 20071213163607 ACCESSION NUMBER: 0000099047-07-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071211 FILED AS OF DATE: 20071213 DATE AS OF CHANGE: 20071213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EDELSTEIN P HOWARD CENTRAL INDEX KEY: 0001252878 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21324 FILM NUMBER: 071304923 BUSINESS ADDRESS: BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: 466 LEXINGTON AVE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NYFIX INC CENTRAL INDEX KEY: 0000099047 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 061344888 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-809-3542 MAIL ADDRESS: STREET 1: 100 WALL STREET STREET 2: 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: TRINITECH SYSTEMS INC DATE OF NAME CHANGE: 19940404 FORMER COMPANY: FORMER CONFORMED NAME: TRANS AIRE ELECTRONICS INC DATE OF NAME CHANGE: 19910916 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-12-11 0 0000099047 NYFIX INC nyfx 0001252878 EDELSTEIN P HOWARD C/O NYFIX, INC. 100 WALL STREET NEW YORK NY 10005 1 1 0 0 President and CEO Common stock 2007-12-11 4 A 0 200000 0 A 200000 D Employee stock option (right to buy) 4.6 2007-10-02 4 A 0 752570 0 A 2017-10-02 Common stock 752570 752570 D Employee stock option (right to buy) 4.6 2007-10-02 4 A 0 675069 0 A 2017-10-02 Common stock 675069 1427639 D Employee stock option (right to buy) 4.6 2007-12-11 4 A 0 753786 0 A 2017-10-02 Common stock 753786 2181425 D Award is granted pursuant to a Restricted Stock Unit Agreement that provides for the issuance of 200,000 shares of Common Stock that vest on December 15, 2007. The restricted stock unit grant was approved by a committee of the Board of Directors of NYFIX, Inc. on October 2, 2007 subject to stockholder approval of the equity compensation plan under which the restricted stock units were granted. NYFIX stockholders approved the plan on December 11, 2007. The option is fully vested and exercisable as of October 2, 2007. This grant was previously reported. The option grant vests and becomes exercisable as to 2.7778% of the shares on October 4, 2007 and on the fourth day of each month thereafter through and including September 4, 2010. This grant was previously reported. The option grant was approved by a committee of the Board of Directors of NYFIX, Inc. on October 2, 2007 subject to stockholder approval of the equity compensation plan under which the option was granted. NYFIX stockholders approved the plan on December 11, 2007. Subject to the condition noted in footnote 5, which was satisfied on December 11, 2007, the option grant vests and becomes exercisable as to 2.7778% of the shares on October 4, 2007, and on the fourth day of each month thereafter through and including September 4, 2010. Brian Bellardo, by Power of Attorney 2007-12-13 -----END PRIVACY-ENHANCED MESSAGE-----