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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 |
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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 2270 (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 at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Borse Dubai LTD PO BOX, 506690, LEVEL 7 PRECINCT BUILDING 5,GATE DISTRICT, DIFC DUBAI, C0 |
 |  X |  |  |
Investment CORP of Dubai P.O. BOX 333888 DUBAI, C0 |
 |  X |  |  |
/s/ Khalifa Al Daboos, Director for INVESTMENT CORPORATION OF DUBAI | 03/27/2012 | |
**Signature of Reporting Person | Date | |
/s/ Essa Kazim, Chairman for BORSE DUBAI LIMITED | 03/27/2012 | |
**Signature of Reporting Person | Date | |
/s/ Abdulaziz Al Muhairi, Director for BORSE DUBAI LIMITED | 03/27/2012 | |
**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) | Pursuant to a letter of instruction and cancellation dated June 23, 2011 ("Letter of Instruction"), the Reporting Person directly acquired 17,660,367, or 10.2%, of the outstanding shares of the Issuer which were previously indirectly beneficially owned by it through Borse Dubai Nasdaq Share Trust (the "Trust"), of which Borse Dubai is the sole beneficial owner, increasing the Reporting Person's beneficial ownership from 7.0% to 17.2%. The transfer of such shares was agreed to by the Issuer pursuant to the Letter of Instruction. |
(2) | The Trust, transferred all 17,660,367 outstanding shares of the Issuer to Borse Dubai as part of the refinancing of a facility agreement, whereby the outstanding shares were transferred directly from Nomura International plc (who held them as custodian) to Borse Dubai. As a result, the Trust was therefore dissolved following the transfer of its outstanding shares from Nomura International plc directly to Borse Dubai. Other than the payment of all liabilities of the Trust (such as fees and expenses), no other consideration was paid by Borse Dubai to the Trust for the transfer of the 17,660,367 outstanding shares. |
(3) | Investment Corporation of Dubai is the majority shareholder of Borse Dubai Limited. Investment Corporation of Dubai is therefore deemed to have beneficial ownership of all of the Non-Derivative Securities and Derivative Securities held by Borse Dubai Limited. Borse Dubai Limited has direct beneficial ownership of 29,780,515 Shares. |
 Remarks: Exhibit 99.1 Signature (filed herewith), which is incorporated herein by reference. Exhibit 99.2 Joint Filing Agreement (filed herewith), which is incorporated herein by reference. |