Filing Details
- Accession Number:
- 0001181431-12-064820
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-14 16:36:09
- Reporting Period:
- 2012-12-12
- Filing Date:
- 2012-12-14
- Accepted Time:
- 2012-12-14 16:36:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1120193 | Nasdaq Omx Group Inc. | NDAQ | Security & Commodity Brokers, Dealers, Exchanges & Services (6200) | 521165937 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1214669 | Robert Greifeld | One Liberty Plaza New York NY 10006 | Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-12-12 | 35,838 | $5.28 | 708,893 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-12 | 35,838 | $24.10 | 673,055 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-12-12 | 39,162 | $5.28 | 712,217 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-12 | 39,162 | $24.49 | 673,055 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-12-13 | 75,000 | $5.28 | 748,055 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-13 | 75,000 | $24.29 | 673,055 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-12-12 | 75,000 | $0.00 | 75,000 | $5.28 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-12-13 | 75,000 | $0.00 | 75,000 | $5.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 550,000 | 2013-04-15 | No | 4 | M | Direct | |
| 475,000 | 2013-04-15 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | $6.30 | 2013-06-11 | 1,000,000 | 1,000,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $21.31 | 2019-06-30 | 900,000 | 900,000 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $35.92 | 2016-12-13 | 960,000 | 960,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-06-11 | 1,000,000 | 1,000,000 | Direct |
| 2019-06-30 | 900,000 | 900,000 | Direct |
| 2016-12-13 | 960,000 | 960,000 | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 26, 2012.
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.40 to $24.39, 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.
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.40 to $24.73, 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 (3) to this Form 4.
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.18 to $24.41, 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 (4) to this Form 4.
- Represents (i) 300,000 shares of common stock acquired upon exercise of vested stock options, (ii) 209,383 vested shares of restricted stock and (iii) 163,672 vested shares underlying PSUs.
- Options exercisable as to 100%.
- Options exercisable as to 100%.
- Options exercisable as to 450,000 shares on each of December 31, 2011 and December 31, 2012.
- Options exercisable as to 100%.
Billionaire Hedge Funds
