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NASDAQ, INC. — Director's Dealing 2014
Jan 3, 2014
30011_dirs_2014-01-03_84cd037a-be84-4db1-b469-22ebb4e2f7dd.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: 2013-12-31
Reporting Person: Ewing Anna M (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-31 | Common Stock, par value $0.01 per share | F | 17805 | $39.8 | Disposed | 166941 | 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 transactions reported on this Form 4 consist of surrenders of shares to pay withholding taxes in connection with the vestings of equity previously granted under NASDAQ OMX's Equity Incentive Plan.
F2: Represents (i) 62,383 vested shares of restricted stock, (ii) 87,445 shares underlying PSUs, of which 28,288 shares are vested and (iii) 17,113 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable on March 4, 2014.
F4: Options exercisable on March 28, 2014.
F5: Options exercisable.
F6: Options exercisable.