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NASDAQ, INC. — Director's Dealing 2014
Feb 25, 2014
30011_dirs_2014-02-25_b8c6c17e-dfa6-4cd6-8240-4df4cde328a9.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: 2014-02-21
Reporting Person: HASSEN RONALD (Senior Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-21 | Common Stock, par value $0.01 per share | A | 3573 | — | Acquired | 78841 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | Common Stock (13787) | 13787 | Direct |
| Employee Stock Option (Right to Buy) | $20.04 | 2017-08-03 | Common Stock (12707) | 12707 | Direct |
| Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | Common Stock (15176) | 15176 | Direct |
| Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | Common Stock (14165) | 14165 | Direct |
Footnotes
F1: Represents the settlement of performance share units (PSUs) that were granted under The NASDAQ OMX Group, Inc. Equity Incentive Plan on July 25, 2013. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a one-year performance period from January 1, 2013 through December 31, 2013. On February 21, 2014, NASDAQ OMX's Board of Directors approved the settlement of the PSU grant. The shares underlying the PSUs will vest as to one-third on December 31, 2014, one-third on December 31, 2015 and one-third on December 31, 2016.
F2: Represents (i) 55,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 18,116 shares underlying PSUs, of which 9,647 shares are vested and (iii) 5,153 shares purchased under the Employee Stock Puchase Plan.
F3: Options exercisable on March 4, 2014.
F4: Options exercisable.
F5: Options exercisable.
F6: Options exercisable on March 28, 2014.