FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the
Investment Company Act of 1940
1. Name and Address of Reporting Person * | 2. Date of Event Requiring | 3. Issuer Name and Ticker or Trading Symbol | |||||||||||||||
Statement (MM/DD/YYYY) | |||||||||||||||||
Howson Dave | 1/1/2020 | Cboe Global Markets, Inc. [CBOE] | |||||||||||||||
(Last) | (First) | (Middle) | 4. Relationship of Reporting Person(s) to Issuer (Check all applicable) | ||||||||||||||
C/O CBOE GLOBAL MARKETS, | _____ Director | _____ 10% Owner | |||||||||||||||
INC., 400 SOUTH LASALLE | ___X___ Officer (give title below) | _____ Other (specify below) | |||||||||||||||
STREET | President, Europe / | ||||||||||||||||
(Street) | 5. If Amendment, Date | 6. Individual or Joint/Group Filing(Check Applicable Line) | |||||||||||||||
CHICAGO, IL 60605 | Original Filed(MM/DD/YYYY) | _X_ Form filed by One Reporting Person | |||||||||||||||
___ Form filed by More than One Reporting Person | |||||||||||||||||
(City) | (State) | (Zip) | |||||||||||||||
Table I - Non-Derivative Securities Beneficially Owned | |||||||||||||||||
1.Title of Security | 2. Amount of Securities | 3. Ownership | 4. Nature of Indirect Beneficial Ownership | ||||||||||||||
(Instr. 4) | Beneficially Owned | Form: Direct | (Instr. 5) | ||||||||||||||
(Instr. 4) | (D) or Indirect | ||||||||||||||||
(I) | |||||||||||||||||
(Instr. 5) | |||||||||||||||||
Common Stock | 13816 (1) | D | |||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||
1. Title of Derivate Security | 2. Date Exercisable | 3. Title and Amount of | 4. Conversion | 5. Ownership | 6. Nature of Indirect | ||||||||||||
(Instr. 4) | and Expiration Date | Securities Underlying | or Exercise | Form of | Beneficial Ownership | ||||||||||||
(MM/DD/YYYY) | Derivative Security | Price of | Derivative | (Instr. 5) | |||||||||||||
(Instr. 4) | Derivative | Security: | |||||||||||||||
Security | Direct (D) or | ||||||||||||||||
Date | Expiration | Title | Amount or | ||||||||||||||
Indirect (I) | |||||||||||||||||
Exercisable | Date | Number of | |||||||||||||||
(Instr. 5) | |||||||||||||||||
Shares | |||||||||||||||||
Restricted Stock Units | Common | 622 | D | ||||||||||||||
Stock | |||||||||||||||||
Restricted Stock Units | Common | 908 | D | ||||||||||||||
Stock | |||||||||||||||||
Restricted Stock Units | Common | 2223 | D | ||||||||||||||
Stock | |||||||||||||||||
Restricted Stock Units | Common | 4105 | D | ||||||||||||||
Stock | |||||||||||||||||
Explanation of Responses:
- Includes 2,287 shares of restricted Common Stock that are scheduled to vest 1/13/2020.
- The restricted stock units vest in three equal annual installments, which began on February 28, 2018.
- Each restricted stock unit represents a contingent right to receive one share of Cboe Global Markets, Inc. common stock.
- The restricted stock units vest in three equal annual installments, which began on February 19, 2019.
- The restricted stock units vest in three equal annual installments, beginning on February 19, 2020.
- The restricted stock units vest on February 19, 2022.
Reporting Owners
Reporting Owner Name / Address | Relationships | |||||
Director | 10% OwnerOfficer | Other | ||||
Howson Dave | ||||||
C/O CBOE GLOBAL MARKETS, INC. | President, Europe | |||||
400 SOUTH LASALLE STREET | ||||||
CHICAGO, IL 60605 | ||||||
Signatures | ||||||
/s/ Patrick Sexton, attorney-in-fact | 1/6/2020 | |||||
**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 5(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 control number.
POWER OF ATTORNEY
The undersigned hereby constitutes and appoints each of Patrick Sexton and Arthur Reinstein, signing
singly, the undersigned's true and lawful attorney-in-fact, for the undersigned and in the undersigned's name, to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as a 10% stockholder, officer and/or director of Cboe Global Markets, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder, and any other forms or reports the undersigned may be required to file in connection with the undersigned's ownership, acquisition or disposition of securities of the Company; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, or other form or report, and timely file such form or report with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, I, the undersigned, have executed this Power of Attorney as of this 6th day of January, 2020.
/s/ Dave Howson
---------------------------
Signature
Dave Howson
Printed Name
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CBOE Holdings Inc. published this content on 06 January 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 06 January 2020 22:02:06 UTC