Filing Details
- Accession Number:
- 0001181431-14-016304
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-04-16 16:27:41
- Reporting Period:
- 2014-04-15
- Filing Date:
- 2014-04-16
- Accepted Time:
- 2014-04-16 16:27:41
- 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 |
|---|---|---|---|---|---|---|---|
| 1254646 | Bruce Aust | 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 | 2014-04-15 | 20,000 | $7.35 | 118,101 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-04-15 | 20,000 | $34.16 | 98,101 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2014-04-15 | 20,000 | $0.00 | 20,000 | $7.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 40,000 | 2014-11-15 | 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) | $19.75 | 2020-03-04 | 25,210 | 25,210 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | 45,528 | 45,528 | 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 | 32,558 | 32,558 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $45.38 | 2017-12-12 | 22,564 | 22,564 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-03-04 | 25,210 | 25,210 | Direct |
| 2018-12-17 | 45,528 | 45,528 | Direct |
| 2021-03-28 | 25,496 | 25,496 | Direct |
| 2016-12-13 | 32,558 | 32,558 | Direct |
| 2017-12-12 | 22,564 | 22,564 | 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 11, 2013.
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.01 to $34.41, 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 (2) to this Form 4.
- Represents (i) 32,274 vested shares of restricted stock, (ii) 59,640 shares underlying PSUs, of which 45,399 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
- Options exercisable.
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