Filing Details

Accession Number:
0001181431-11-049782
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-19 16:10:28
Reporting Period:
2011-09-15
Filing Date:
2011-09-19
Accepted Time:
2011-09-19 16:10:28
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 2011-09-15 5,000 $7.35 133,976 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2011-09-15 5,000 $25.00 128,976 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 2011-09-15 5,000 $0.00 5,000 $7.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
175,000 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) $9.15 2014-02-18 90,000 90,000 Direct
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
2014-02-18 90,000 90,000 Direct
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
  1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 15, 2011 to be effective on March 1, 2011.
  2. Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 49,852 shares or units of restricted stock, of which 14,852 are vested, (iii) 66,939 unvested shares underlying PSUs and (iv) 5,185 shares purchased under the Employee Stock Purchase Plan.
  3. Options exercisable.
  4. Options exercisable.
  5. Options exercisable on March 4, 2014.
  6. Options exercisable on December 17, 2012.
  7. Options exercisable on March 28, 2015, subject to accelerated vesting on March 28, 2014, or extension of vesting until March 28, 2016, depending on the achievement of performance goals.
  8. Options exercisable.
  9. Options exercisable.