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NASDAQ, INC. — Director's Dealing 2015
Feb 9, 2015
30011_dirs_2015-02-09_3b5f9c77-2255-4bcb-ad10-38878263b215.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: NASDAQ OMX GROUP, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2014-12-31
Reporting Person: GREIFELD ROBERT (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-12-23 | Common Stock, par value $0.01 per share | G | 4780 | $0.00 | Disposed | 838631 | Direct |
| 2014-12-19 | Common Stock, par value $0.01 per share | G | 1140 | $0.00 | Disposed | 838631 | 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: These shares were included in Box 5 of Forms 4 filed by the reporting person after the date of the bona fide charitable gift.
F2: The amount reported reflects the amount of securities beneficially owned as of December 31, 2014 and represents (i) 397,660 shares of common stock acquired upon exercise of vested stock options, (ii) 209,383 vested shares of restricted stock, (iii) 230,950 vested shares underlying PSUs and (iv) 638 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable as to 100%.
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