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NASDAQ, INC. — Director's Dealing 2014
Feb 20, 2014
30011_dirs_2014-02-20_129b7d06-f8e6-4fc6-869e-6f6d6c6f3645.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: 2014-02-18
Reporting Person: Jochumsen Hans-Ole (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-18 | Common Stock, par value $0.01 per share | S | 14700 | $39.09 | Disposed | 62808 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (22059) | 22059 | Direct |
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (33995) | 33995 | Direct |
| Employee Stock Option (Right to Buy) | $41.36 | 2018-03-24 | Common Stock (15771) | 15771 | 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 $39.08 to $39.14, 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) 58,387 shares underlying PSUs, of which 39,398 shares are vested and (ii) 4,421 shares purchased pursuant to the Employee Share Purchase Plan.
F3: Options exercisable on March 4, 2014.
F4: Options exercisable on March 28, 2014.
F5: Options exercisable as to 100%.