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NASDAQ, INC. — Director's Dealing 2013
Jan 3, 2013
30011_dirs_2013-01-03_3084ba22-fa93-40d9-b6a0-7cb90d06bd42.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: Jochumsen Hans-Ole (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 | 27625 | $24.99 | Disposed | 108034 | 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 (33995) | 33995 | Direct |
| Employee Stock Option (Right to Buy) | $41.36 | 2018-03-24 | Common Stock (15771) | 15771 | 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) 29,700 units of vested restricted stock (ii) 74,883 shares underlying PSUs, of which 27,455 shares are vested and (iii) 3,451 shares purchased pursuant to the Employee Share Purchase Plan.
F3: Options exercisable on March 4, 2014.
F4: Options exercisable as to 100%.
F5: Options exercisable on March 28, 2014.
F6: Options exercisable as to 100%.