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NASDAQ, INC. — Director's Dealing 2016
Jul 15, 2016
30011_dirs_2016-07-15_ac9c2e48-f5d0-4223-90ab-8d2c3f988f96.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NASDAQ, INC. (NDAQ)
CIK: 0001120193
Period of Report: 2016-07-13
Reporting Person: Wittman Thomas A (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-07-13 | Common Stock, par value $0.01 per share | M | 12748 | $25.28 | Acquired | 64956 | Direct |
| 2016-07-13 | Common Stock, par value $0.01 per share | S | 12748 | $67.08 | Disposed | 52208 | Direct |
| 2016-07-13 | Common Stock, par value $0.01 per share | S | 12145 | $67.08 | Disposed | 40505 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-07-13 | Employee Stock Option (Right to Buy) | $25.28 | M | 12748 | Disposed | 2021-03-28 | Common Stock (12748) | Direct |
Footnotes
F1: The reported sale was 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 $66.87 to $67.64, 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: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.87 to $67.64, 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 (3) to this Form 4.
F4: Represents (i) 18,312 units of vested restricted stock, (ii) 20,990 shares underlying performance share units, of which 16,195 are vested and (iii) 1,203 shares purchased under the Employee Share Purchase Plan.
F5: Options exercisable.