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
- 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.
- 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.
- Options exercisable.
- Options exercisable.
- Options exercisable on March 4, 2014.
- Options exercisable on December 17, 2012.
- 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.
- Options exercisable.
- Options exercisable.