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NASDAQ, INC. — Director's Dealing 2014
Sep 9, 2014
30011_dirs_2014-09-09_a686344a-bcf9-422c-9f9f-325c88007942.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: 2014-09-05
Reporting Person: Wittman Thomas A (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-09-05 | Common Stock, par value $0.01 per share | M | 4662 | $19.75 | Acquired | 51961 | Direct |
| 2014-09-05 | Common Stock, par value $0.01 per share | M | 4924 | $25.07 | Acquired | 56885 | Direct |
| 2014-09-05 | Common Stock, par value $0.01 per share | M | 3782 | $25.75 | Acquired | 60667 | Direct |
| 2014-09-05 | Common Stock, par value $0.01 per share | S | 13368 | $43.05 | Disposed | 47299 | Direct |
| 2014-09-05 | Common Stock, par value $0.01 per share | S | 222 | $43.00 | Disposed | 47077 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-09-05 | Employee Stock Option (Right to Buy) | $19.75 | M | 4662 | Disposed | 2020-03-04 | Common Stock (4662) | Direct |
| 2014-09-05 | Employee Stock Option (Right to Buy) | $25.07 | M | 4924 | Disposed | 2018-12-17 | Common Stock (4924) | Direct |
| 2014-09-05 | Employee Stock Option (Right to Buy) | $25.75 | M | 3782 | Disposed | 2018-08-04 | Common Stock (3782) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (12748) | 12748 | Direct |
Footnotes
F1: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.14, 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 (1) to this Form 4.
F2: Represents (i) 34,456 units of restricted stock, of which 25,497 are vested and (ii) 12,621 shares underlying PSUs, of which 4,316 are vested.
F3: Options exercisable.