Filing Details
- Accession Number:
- 0001181431-12-064821
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-12-14 16:36:17
- Reporting Period:
- 2012-12-12
- Filing Date:
- 2012-12-14
- Accepted Time:
- 2012-12-14 16:36:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1240174 | S Edward Knight | One Liberty Plaza New York NY 10006 | Executive Vice President | No | 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 | 30,000 | $7.35 | 204,217 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-12 | 30,000 | $24.25 | 174,217 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-12-12 | 75,000 | $9.15 | 249,217 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-12-12 | 75,000 | $24.25 | 174,217 | 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 |
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 | 30,000 | $0.00 | 30,000 | $7.35 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2012-12-12 | 75,000 | $0.00 | 75,000 | $9.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 100,000 | 2014-11-15 | No | 4 | M | Direct | |
| 0 | 2014-02-18 | 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) | $19.75 | 2020-03-04 | 22,059 | 22,059 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | 39,458 | 39,458 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | 25,496 | 25,496 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $35.92 | 2016-12-13 | 28,801 | 28,801 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $45.38 | 2017-12-12 | 19,555 | 19,555 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-03-04 | 22,059 | 22,059 | Direct |
| 2018-12-17 | 39,458 | 39,458 | Direct |
| 2021-03-28 | 25,496 | 25,496 | Direct |
| 2016-12-13 | 28,801 | 28,801 | Direct |
| 2017-12-12 | 19,555 | 19,555 | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 8, 2012.
- Represents (i) 7,878 shares of common stock acquired upon exercise of vested stock options, (ii) 54,102 shares or units of restricted stock, of which 44,213 are vested, (iii) 94,937 shares underlying PSUs, of which 9,587 shares are vested and (iv) 17,300 shares purchased under the Employee Stock Purchase Plan.
- Options vested as to 100%.
- Options vested as to 100%.
- Options exercisable on March 4, 2014.
- Options exercisable on December 17, 2012.
- Options exercisable on March 28, 2014.
- Options vested as to 100%.
- Options vested as to 100%.
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