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NASDAQ, INC. — Director's Dealing 2014
May 27, 2014
30011_dirs_2014-05-27_287a5372-7e29-469d-b31f-c4c231f35652.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: 2014-05-23
Reporting Person: Shavel Lee (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-05-23 | Common Stock, par value $0.01 per share | F | 25787 | $36.45 | Disposed | 133960 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $24.94 | 2021-05-23 | Common Stock (41257) | 41257 | Direct |
Footnotes
F1: The transaction reported on this Form 4 consists of a surrender of shares to pay withholding taxes in connection with a vesting of equity previously granted under NASDAQ OMX's Equity Incentive Plan.
F2: Represents (i) 98,050 units of restricted stock, of which 47,930 are vested and (ii) 35,910 shares underlying PSUs, of which 13,456 are vested.
F3: Options exercisable.
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