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NASDAQ, INC. — Director's Dealing 2013
Feb 22, 2013
30011_dirs_2013-02-22_db689a82-fe8d-42e9-888a-b56d06854f09.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: 2013-02-20
Reporting Person: HASSEN RONALD (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-02-20 | Common Stock, par value $0.01 per share | A | 4377 | — | Acquired | 77011 | 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: Represents the settlement of performance share units (PSUs) that were granted under The NASDAQ OMX Group, Inc. Equity Incentive Plan on May 7, 2012. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a one-year performance period from January 1, 2012 through December 31, 2012. On February 20, 2013, the Management Compensation Committee of NASDAQ OMX's Board of Directors approved the settlement of the PSU grant. The shares underlying the PSUs will vest as to one-third on December 31, 2013, one-third on December 31, 2014 and one-third on December 31, 2015.
F2: Represents (i) 55,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 17,257 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.