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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Nasdaq Inc | NASDAQ:NDAQ | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.02 | -0.03% | 59.03 | 58.70 | 60.47 | 59.70 | 58.525 | 59.20 | 6,568,653 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
AUST BRUCE |
2. Issuer Name
and
Ticker or Trading Symbol
NASDAQ OMX GROUP, INC. [ NDAQ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Executive Vice President |
ONE LIBERTY PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
NEW YORK, NY 10006 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.01 per share | 2/1/2012 | M | 5000 | A | $7.35 | 122324 | D | |||
Common Stock, par value $0.01 per share | 2/1/2012 | S (1) | 5000 | D | $25 | 117324 (2) | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $7.35 | 2/1/2012 | M | 5000 | (3) | 11/15/2014 | Common Stock | 5000 | $ 0 | 150000 | D | ||||
Employee Stock Option (Right to Buy) | $9.15 | (4) | 2/18/2014 | Common Stock | 90000 | 90000 | D | ||||||||
Employee Stock Option (Right to Buy) | $19.75 | (5) | 3/4/2020 | Common Stock | 25210 | 25210 | D | ||||||||
Employee Stock Option (Right to Buy) | $25.07 | (6) | 12/17/2018 | Common Stock | 45528 | 45528 | D | ||||||||
Employee Stock Option (Right to Buy) | $25.28 | (7) | 3/28/2021 | Common Stock | 25496 | 25496 | D | ||||||||
Employee Stock Option (Right to Buy) | $35.92 | (8) | 12/13/2016 | Common Stock | 32558 | 32558 | D | ||||||||
Employee Stock Option (Right to Buy) | $45.38 | (9) | 12/12/2017 | Common Stock | 22564 | 22564 | D |
Explanation of Responses: | |
( 1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 15, 2011 to be effective on March 1, 2011. |
( 2) | Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 49,852 shares or units of restricted stock, of which 14,852 are vested, (iii) 55,287 shares underlying PSUs, of which 11,545 shares are vested and (iv) 5,185 shares purchased under the Employee Stock Purchase Plan. |
( 3) | Options exercisable. |
( 4) | Options exercisable. |
( 5) | Options exercisable on March 4, 2014. |
( 6) | Options exercisable on December 17, 2012. |
( 7) | Options exercisable on March 28, 2015, subject to accelerated vesting on March 28, 2014, or extension of vesting until March 28, 2016, depending on the achievement of performance goals. |
( 8) | Options exercisable. |
( 9) | Options exercisable. |
Reporting Owners
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|||||
Reporting Owner Name / Address |
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||||
Director | 10% Owner | Officer | Other | ||
AUST BRUCE
ONE LIBERTY PLAZA NEW YORK, NY 10006 |
|
|
Executive Vice President |
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Signatures
|
||
/s/ Edward S. Knight, by power of attorney | 2/3/2012 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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