AI assistant
NASDAQ, INC. — Director's Dealing 2012
Dec 14, 2012
30011_dirs_2012-12-14_0285a3f8-f77a-468c-9ecb-2775e4bb2d91.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NASDAQ OMX GROUP, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2012-12-12
Reporting Person: KNIGHT EDWARD S (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-12 | Common Stock, par value $0.01 per share | M | 30000 | $7.35 | Acquired | 204217 | Direct |
| 2012-12-12 | Common Stock, par value $0.01 per share | S | 30000 | $24.25 | Disposed | 174217 | Direct |
| 2012-12-12 | Common Stock, par value $0.01 per share | M | 75000 | $9.15 | Acquired | 249217 | Direct |
| 2012-12-12 | Common Stock, par value $0.01 per share | S | 75000 | $24.25 | Disposed | 174217 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-12-12 | Employee Stock Option (Right to Buy) | $7.35 | M | 30000 | Disposed | 2014-11-15 | Common Stock (30000) | Direct |
| 2012-12-12 | Employee Stock Option (Right to Buy) | $9.15 | M | 75000 | Disposed | 2014-02-18 | Common Stock (75000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| 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 (39458) | 39458 | 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 (28801) | 28801 | Direct |
| Employee Stock Option (Right to Buy) | $45.38 | 2017-12-12 | Common Stock (19555) | 19555 | 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 November 8, 2012.
F2: Represents (i) 7,878 shares of common stock acquired upon exercise of vested stock options, (ii) 54,102 shares or units of restricted stock, of which 44,213 are vested, (iii) 94,937 shares underlying PSUs, of which 9,587 shares are vested and (iv) 17,300 shares purchased under the Employee Stock Purchase Plan.
F3: Options vested as to 100%.
F4: Options vested as to 100%.
F5: Options exercisable on March 4, 2014.
F6: Options exercisable on December 17, 2012.
F7: Options exercisable on March 28, 2014.
F8: Options vested as to 100%.
F9: Options vested as to 100%.