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 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
NYFIX INC [ NYFX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/21/2001 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 07/09/2002 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 55,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Options to Acquire Common Stock | $14.04 | 09/21/2001 | J(1) | 225,000 | (4) | 09/21/2011 | Common Stock | 225,000 | $0 | 225,000 | D | ||||
Options to Acquire Common Stock | $14.04 | 09/21/2001 | J(1) | 100,000 | (2) | 09/21/2011 | Common Stock | 100,000 | $0 | 100,000 | D | ||||
Options to Acquire Common Stock | $12.02 | 10/23/2001 | D(3) | 25,000 | 10/23/2003 | 10/23/2011 | Common Stock | 25,000 | $0 | 0 | D | ||||
Options to Acquire Common Stock | $5.25 | 08/16/2002 | J(5) | 100,000 | (6) | 08/16/2012 | Common Stock | 100,000 | $0 | 100,000 | D |
Explanation of Responses: |
1. Options originally reported with an exercise price of $12.80. |
2. 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. |
3. This grant has been voided. Options in this grant covering 12,500 shares had previously expired according to their terms. |
4. 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. |
5. Options originally reported with an exercise price of $3.92. |
6. 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. |
Remarks: |
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 | 07/10/2006 | |
** 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. |