Filing Details

Accession Number:
0001181431-13-059232
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-15 16:05:25
Reporting Period:
2013-11-14
Filing Date:
2013-11-15
Accepted Time:
2013-11-15 16:05:25
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 Disposition 2013-11-14 11,391 $36.77 130,503 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S 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
  1. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.77 to $36.79, 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 (1) to this Form 4.
  2. Represents (i) 7,878 shares of common stock acquired upon exercise of vested stock options, (ii) 31,456 vested shares of restricted stock, (iii) 72,899 shares underlying PSUs, of which 32,696 shares are vested and (iv) 18,270 shares purchased under the Employee Stock Purchase Plan.
  3. Options exercisable on March 4, 2014.
  4. Options vested as to 100%.
  5. Options exercisable on March 28, 2014.
  6. Options vested as to 100%.
  7. Options vested as to 100%.