AI assistant
NASDAQ, INC. — Director's Dealing 2014
Jan 3, 2014
30011_dirs_2014-01-03_73dbe7af-672a-409b-beb3-6d3ebf0fbb7a.zip
Director's Dealing
Open in viewerOpens in your device viewer
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: AUST BRUCE (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 | 16650 | $39.80 | Disposed | 123144 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $7.35 | 2014-11-15 | Common Stock (120000) | 120000 | Direct |
| 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 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) 32,274 vested shares of restricted stock, (ii) 84,683 shares underlying PSUs, of which 45,399 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable.
F4: Options exercisable on March 4, 2014.
F5: Options exercisable.
F6: Options exercisable on March 28, 2014.
F7: Options exercisable.
F8: Options exercisable.