-----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, Ms0xOcmhrmfIthSFwGhaGU0mTopd/xuZJKfputvbfYeM0LO/+BWjwrDvQx1Ok1YG Sl+1QLov9BkKFk9u4/7sEw== 0000950120-06-000381.txt : 20060710 0000950120-06-000381.hdr.sgml : 20060710 20060710162320 ACCESSION NUMBER: 0000950120-06-000381 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010921 FILED AS OF DATE: 20060710 DATE AS OF CHANGE: 20060710 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: 333 LUDLOW STREET CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2034258000 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GASSER ROBERT C CENTRAL INDEX KEY: 0001023087 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-21324 FILM NUMBER: 06954156 BUSINESS ADDRESS: BUSINESS PHONE: 2034258000 MAIL ADDRESS: STREET 1: C/O NYFIX INC STREET 2: 333 LUDLOW ST CITY: STAMFORD STATE: CT ZIP: 06902 4/A 1 gasserform4a_0630ex.xml X0202 4/A 2001-09-21 2002-07-09 0 0000099047 NYFIX INC NYFX 0001023087 GASSER ROBERT C C/O NYFIX INC 333 LUDLOW ST STAMFORD CT 06902 1 1 0 0 President and CEO Common Stock 55000 D Options to Acquire Common Stock 14.04 2001-09-21 4 J 0 225000 0 A 2011-09-21 Common Stock 225000 225000 D Options to Acquire Common Stock 14.04 2001-09-21 4 J 0 100000 0 A 2011-09-21 Common Stock 100000 100000 D Options to Acquire Common Stock 12.02 2001-10-23 4 D 0 25000 0 D 2003-10-23 2011-10-23 Common Stock 25000 0 D Options to Acquire Common Stock 5.25 2002-08-16 4 J 0 100000 0 A 2012-08-16 Common Stock 100000 100000 D Options originally reported with an exercise price of $12.80. This grant was initially reported with a vesting of September 21, 2006 and was initially recorded in the Company's books and records with a vesting of September 21, 2006 or when the pre-tax earnings of Millennium exceeded $50,000,000 on a cumulative basis in consecutive quarters not to exceed four. The reference to vesting on September 21, 2006 is not a part of the grant. This grant has been voided. Options in this grant covering 12,500 shares had previously expired according to their terms. Options vest over a three year period at a rate of 75,000 on 09/21/2002, 75,000 on 09/21/2003 and 75,000 on 09/21/2004. Options originally reported with an exercise price of $3.92. Options vested as follows: 40,000 on 3/31/03, 20,000 on 12/31/03, 20,000 on 12/31/04 and 20,000 on 12/31/05. 55,000 previously reported shares of Common Stock and previously reported options to acquire 10,000 shares of Common Stock are not being amended. /s/ Robert C. Gasser 2006-07-10 -----END PRIVACY-ENHANCED MESSAGE-----