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NASDAQ, INC. — Director's Dealing 2013
Nov 21, 2013
30011_dirs_2013-11-21_3d8acd52-5baa-44be-842d-e7ebadda72ab.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: 2013-11-19
Reporting Person: Ewing Anna M (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-19 | Common Stock, par value $0.01 per share | M | 45528 | $25.07 | Acquired | 213269 | Direct |
| 2013-11-19 | Common Stock, par value $0.01 per share | S | 45528 | $38.08 | Disposed | 167741 | Direct |
| 2013-11-19 | Common Stock, par value $0.01 per share | S | 10000 | $38.00 | Disposed | 157741 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-19 | Employee Stock Option (Right to Buy) | $25.07 | M | 45528 | Disposed | 2018-12-17 | Common Stock (45528) | 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) | $25.28 | 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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person October 24, 2013.
F2: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.00 to $38.23, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
F3: Represents (i) 62,383 vested shares of restricted stock, (ii) 78,245 shares underlying PSUs, of which 19,088 shares are vested and (iii) 17,113 shares purchased under the Employee Stock Purchase Plan.
F4: Options exercisable.
F5: Options exercisable on March 4, 2014.
F6: Options exercisable on March 28, 2014.
F7: Options exercisable.
F8: Options exercisable.