Filing Details
- Accession Number:
- 0001209191-16-153458
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-05 17:36:26
- Reporting Period:
- 2016-12-01
- Filing Date:
- 2016-12-05
- Accepted Time:
- 2016-12-05 17:36:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1120193 | Nasdaq 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 | 2016-12-01 | 40,622 | $35.92 | 1,030,437 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2016-12-01 | 40,622 | $63.58 | 989,815 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2016-12-02 | 4,781 | $35.92 | 994,596 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2016-12-02 | 4,781 | $64.24 | 989,815 | 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 | 2016-12-01 | 40,622 | $0.00 | 40,622 | $35.92 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2016-12-02 | 4,781 | $0.00 | 4,781 | $35.92 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 70,781 | 2016-12-13 | No | 4 | M | Direct | |
| 66,000 | 2016-12-13 | 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) | $21.31 | 2019-06-30 | 900,000 | 900,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-06-30 | 900,000 | 900,000 | Direct |
Footnotes
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.50 to $63.69, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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.
- The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.10 to $64.47, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan.
- Options exercisable as to 100%.
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