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NASDAQ, INC. — Director's Dealing 2013
Jan 3, 2013
30011_dirs_2013-01-03_0ebdb6d0-dd9b-4512-99ff-f77940e06859.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: 2012-12-31
Reporting Person: Ewing Anna M (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-31 | Common Stock, par value $0.01 per share | F | 28083 | $24.99 | Disposed | 266771 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (34664) | 34664 | 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 (39661) | 39661 | 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 transactions reported on this Form 4 consist of surrenders of shares to pay withholding taxes in connection with vestings of equity previously granted under NASDAQ OMX's Equity Incentive Plan.
F2: Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 135,403 vested shares of restricted stock, (iii) 107,414 shares underlying PSUs, of which 48,257 shares are vested and (iv) 16,954 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable on March 4, 2014.
F4: Options exercisable.
F5: Options exercisable on March 28, 2014.
F6: Options exercisable.
F7: Options exercisable.