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NASDAQ, INC. — Director's Dealing 2012
Jul 5, 2012
30011_dirs_2012-07-05_b21f8cfd-44b2-4c38-a5b1-0db1500b8fa6.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: 2012-07-02
Reporting Person: AUST BRUCE (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-07-02 | Common Stock, par value $0.01 per share | F | 17578 | $22.89 | Disposed | 142469 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $7.35 | 2014-11-15 | Common Stock (150000) | 150000 | Direct |
| 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: Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 32,274 vested shares of restricted stock, (iii) 98,010 shares underlying PSUs, of which 11,545 shares are vested and (iv) 5,185 shares purchased under the Employee Stock Purchase Plan.
F2: Options exercisable.
F3: Options exercisable.
F4: Options exercisable on March 4, 2014.
F5: Options exercisable on December 17, 2012.
F6: Options exercisable on March 28, 2014.
F7: Options exercisable.
F8: Options exercisable.
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