05/02/2007
(1) How can I confirm my Restricted Common Stock holdings?
Currently, each record holder of Series A and Series B Common Stock (whether 1, 2 or 3) has an account set up with NYMEX's transfer agent, American Stock Transfer & Trust Company ("AST"). This is the case even if you have certificated your shares and they are being held by you or your broker. You may access your account by logging on to the AST website, www.amstock.com. Please note that you will need the account number listed above, as well as your tax id number, to access your account.
NOTE: If you are a COMEX Seat Owner who did not opt for early delivery (i.e., November 2006 or January 2007) of your Series B Common Stock, and instead will be receiving delayed delivery in three installments, information on your Series B Common Stock holdings will not be accessible via AST until each installment is received, though such information will be accessible regarding any other shares of NYMEX common stock you may own. The first installment will be received on May 15, 2007; the second, on November 11, 2007; and the last on May 9, 2008. Upon each of those installments, 2,800 shares (per each COMEX Seat owned as of November 17, 2006) of freely tradable NYMEX common stock will be credited to your account.
((2) Have stock certificates been issued and, if not, where is the stock being held?
Certain stockholders have already requested and received stock certificates. If you have not already requested issuance of stock certificates, the stock is currently being held via "book entry" at AST. You do not need to hold your shares in certificated form.
(3) Can I transfer my Restricted Common Stock to a brokerage account of my own choosing?
Yes. Upon your written request, AST will issue stock certificates and forward them to you or, directly to the brokerage firm at which you maintain an account. If you request the certificates before expiration of the applicable lock-up periods, there are several factors that you must consider:
The stock certificates that will be issued will have a "restricted legend" printed on the certificate indicative of the various lock-up periods applicable to each series of restricted stock. It is your responsibility to check with your broker to determine the broker's policies and procedures regarding accepting orders to sell stock that bears a restricted legend. More specifically, some brokers may require that stock certificates bearing a "restricted legend" be sent back to the transfer agent, AST, and that a new certificate free of any "restricted legend" be issued before it will accept an order to sell the stock. Other brokers may prefer to have the stock electronically transferred into street name for your account immediately upon expiration of the respective lock up periods. Consequently, you should take immediate steps to bring this matter to your broker's attention to determine the best course of action to implement your individual investment strategy.
(4) What do I need to do if I want to sell my Series A1 or B1 shares on or after May 15th?
You should contact your broker immediately to determine the specific policies and procedures they may have for selling your Series A1 and/or B1 stock, regardless of whether you have already obtained physical stock certificates and deposited them in your brokerage account or whether your stock remains in book entry at AST. Each brokerage firm has its own procedures for accepting and processing orders and they may be different depending upon whether they are already in possession of the stock certificates or whether your stock is still in book entry at AST. It is your responsibility to check with your broker and take the required actions sufficiently in advance to enable and prepare your broker to process your instructions.
(5) Can I transfer some or all of my remaining Restricted Common Stock to another name during the lock-up period?
Only under very limited circumstances (i.e., spouse, children, grandchildren, and a trust for the benefit of immediate family) pursuant to the provisions of Article Fifth of the NYMEX Certificate of Incorporation, available on www.nymex.com under Investor Relations-Library of Forms are such transfers permissible. Before a transfer will be permitted, however, the transferor will be required to submit documentation to the Membership Department for review and approval. Questions regarding these transfers should be directed to the Membership Department at membershipdepartment@nymex.com.
Any inquiries regarding account access should be directed to AST's Shareholder's Service Department at (866) 703-9068. Inquiries regarding your restricted stock may also be made to investorrelations@nymex.com and or membershipdepartment@nymex.com.