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NASDAQ, INC. — Director's Dealing 2014
Feb 25, 2014
30011_dirs_2014-02-25_64b42675-5bc6-4b73-89e9-40626d77ffb4.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: NASDAQ OMX GROUP, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2013-12-31
Reporting Person: HASSEN RONALD (Senior 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 | 2714 | $39.80 | Disposed | 75268 | 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: The transactions reported on this Form 4 consist of surrenders of shares to pay withholding taxes in connection with the vestings of equity previously granted under NASDAQ OMX's Equity Incentive Plan.
F2: Represents (i) 55,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 14,543 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.