AI assistant
NASDAQ, INC. — Director's Dealing 2015
Feb 23, 2015
30011_dirs_2015-02-23_0ec84fa2-1f86-4b57-9be2-dd33af156dae.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NASDAQ OMX GROUP, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2015-02-19
Reporting Person: Ewing Anna M (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-19 | Common Stock, par value $0.01 per share | M | 13500 | $45.38 | Acquired | 78041 | Direct |
| 2015-02-19 | Common Stock, par value $0.01 per share | S | 13500 | $50.38 | Disposed | 64541 | Direct |
| 2015-02-20 | Common Stock, par value $0.01 per share | M | 9064 | $45.38 | Acquired | 73605 | Direct |
| 2015-02-20 | Common Stock, par value $0.01 per share | S | 9064 | $50.38 | Disposed | 64541 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-19 | Employee Stock Option (Right to Buy) | $45.38 | M | 13500 | Disposed | 2017-12-12 | Common Stock (13500) | Direct |
| 2015-02-20 | Employee Stock Option (Right to Buy) | $45.38 | M | 9064 | Disposed | 2017-12-12 | Common Stock (9064) | Direct |
Footnotes
F1: The sales reported were effected pursuant to a Rule 10b5-1 trading plan.
F2: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.38 to $50.39, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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) 3,061 vested shares of restricted stock, (ii) 53,614 vested shares underlying performance share units, and (iii) 7,866 shares purchased under the Employee Stock Purchase Plan.
F4: Options exercisable.