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NASDAQ, INC. — Director's Dealing 2011
Oct 11, 2011
30011_dirs_2011-10-11_bdd9d6e4-7750-42fc-aeaa-920b664ac330.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: 2011-10-10
Reporting Person: AUST BRUCE (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-10-10 | Common Stock, par value $0.01 per share | M | 5000 | $7.35 | Acquired | 133976 | Direct |
| 2011-10-10 | Common Stock, par value $0.01 per share | S | 5000 | $25.00 | Disposed | 128976 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-10-10 | Employee Stock Option (Right to Buy) | $7.35 | M | 5000 | Disposed | 2014-11-15 | Common Stock (5000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $9.15 | 2014-02-18 | Common Stock (90000) | 90000 | Direct |
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (25210) | 25210 | 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 (25496) | 25496 | 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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 15, 2011 to be effective on March 1, 2011.
F2: Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 49,852 shares or units of restricted stock, of which 14,852 are vested, (iii) 66,939 unvested shares underlying PSUs and (iv) 5,185 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable.
F4: Options exercisable.
F5: Options exercisable on March 4, 2014.
F6: Options exercisable on December 17, 2012.
F7: 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.
F8: Options exercisable.
F9: Options exercisable.