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NASDAQ, INC. — Director's Dealing 2011
Nov 9, 2011
30011_dirs_2011-11-09_efbca5de-446e-452c-aa1b-4db0749db808.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NASDAQ OMX GROUP, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2011-11-08
Reporting Person: JACOBS JOHN (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-11-08 | Common Stock, par value $0.01 per share | M | 3965 | $13.38 | Acquired | 165202 | Direct |
| 2011-11-08 | Common Stock, par value $0.01 per share | S | 3965 | $26 | Disposed | 161237 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-11-08 | Employee Stock Option (Right to Buy) | $13.38 | M | 3965 | Disposed | 2012-07-24 | Common Stock (3965) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $7.35 | 2014-11-15 | Common Stock (200000) | 200000 | Direct |
| Employee Stock Option (Right to Buy) | $9.15 | 2014-02-18 | Common Stock (100000) | 100000 | Direct |
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (22059) | 22059 | Direct |
| Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | Common Stock (45528) | 45528 | Direct |
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (22663) | 22663 | Direct |
| Employee Stock Option (Right to Buy) | $35.92 | 2016-12-13 | Common Stock (32558) | 32558 | Direct |
| Employee Stock Option (Right to Buy) | $45.38 | 2017-12-12 | Common Stock (22564) | 22564 | Direct |
Footnotes
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 4, 2011.
F2: Represents (i) 14,000 shares acquired upon the exercise of vested stock options, (ii) 67,620 shares or units of restricted stock, of which 32,620 are vested, (iii) 62,888 unvested shares underlying PSUs and (iv) 16,729 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable as to 100%.
F4: Options exercisable as to 100%.
F5: Options exercisable as to 100%.
F6: Options exercisable on March 4, 2014.
F7: Options exercisable on December 17, 2012.
F8: Options exercisable on March 28, 2015, subject to accelerated vesting on March 28, 2014, or extension of vesting until March 28, 2016, depending on the achievement of performance goals.
F9: Options exercisable as to 100%.
F10: Options exercisable as to 100%.