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NASDAQ, INC. — Director's Dealing 2015
Feb 9, 2015
30011_dirs_2015-02-09_acf5d58e-7fdd-4919-a54e-032b329a21ce.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: 2015-02-05
Reporting Person: GREIFELD ROBERT (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-05 | Common Stock, par value $0.01 per share | S | 40392 | $48.40 | Disposed | 798239 | Direct |
| 2015-02-06 | Common Stock, par value $0.01 per share | S | 59608 | $48.75 | Disposed | 738631 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy) | $21.31 | 2019-06-30 | Common Stock (900000) | 900000 | Direct |
| Employee Stock Option (Right to Buy) | $35.92 | 2016-12-13 | Common Stock (960000) | 960000 | 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 $48.26 to $48.76, 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: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $48.67 to $48.92, 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 (2) to this Form 4.
F3: Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 209,383 vested shares of restricted stock, (iii) 190,558 vested shares underlying PSUs and (iv) 638 shares purchased under the Employee Stock Purchase Plan.
F4: Options exercisable as to 100%.