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NASDAQ, INC. — Director's Dealing 2013
Jan 3, 2013
30011_dirs_2013-01-03_e181d527-c945-4bd2-aefc-de7cf1f8d014.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: HASSEN RONALD (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-08-10 | Common Stock, par value $0.01 per share | F | 5243 | $24.99 | Disposed | 101721 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $7.35 | 2014-11-15 | Common Stock (47620) | 47620 | Direct |
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (13787) | 13787 | Direct |
| Employee Stock Option (Right to Buy) | $20.04 | 2017-08-03 | Common Stock (12707) | 12707 | Direct |
| Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | Common Stock (15176) | 15176 | Direct |
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (14165) | 14165 | 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) 84,659 shares or units of restricted stock, of which 34,659 are vested, (ii) 12,880 shares underlying PSUs, of which 7,092 shares are vested and (iii) 4,182 shares purchased under the Employee Stock Puchase Plan.
F3: Options exercisable.
F4: Options exercisable on March 4, 2014.
F5: Options vested as to two-thirds. Options exercisable as to one-third on August 3, 2013.
F6: Options exercisable.
F7: Options exercisable on March 28, 2014.