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NASDAQ, INC. — Director's Dealing 2014
Mar 19, 2014
30011_dirs_2014-03-19_55c464fd-8914-4161-bd67-255db7b15118.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: 2014-03-17
Reporting Person: AUST BRUCE (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-03-17 | Common Stock, par value $0.01 per share | M | 20000 | $7.35 | Acquired | 118101 | Direct |
| 2014-03-17 | Common Stock, par value $0.01 per share | S | 20000 | $39.80 | Disposed | 98101 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-03-17 | Employee Stock Option (Right to Buy) | $7.35 | M | 20000 | Disposed | 2014-11-15 | Common Stock (20000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (25210) | 25210 | Direct |
| Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | Common Stock (45528) | 45528 | Direct |
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (25496) | 25496 | 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 sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2013.
F2: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.90, 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) 32,274 vested shares of restricted stock, (ii) 59,640 shares underlying PSUs, of which 45,399 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
F4: Options exercisable.
F5: Options exercisable.
F6: Options exercisable.
F7: Options exercisable on March 28, 2014.
F8: Options exercisable.
F9: Options exercisable.