Filing Details
- Accession Number:
- 0001181431-12-004180
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-01-27 15:54:53
- Reporting Period:
- 2012-01-26
- Filing Date:
- 2012-01-27
- Accepted Time:
- 2012-01-27 15:54:53
- 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 |
---|---|---|---|---|---|---|---|
1240177 | Ronald Hassen | One Liberty Plaza New York NY 10006 | Senior 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 | 2012-01-26 | 2,380 | $7.35 | 73,322 | No | 4 | M | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2012-01-26 | 2,380 | $26.26 | 70,942 | 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 | 2012-01-26 | 2,380 | $0.00 | 2,380 | $7.35 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
47,620 | 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) | $8.50 | 2013-07-29 | 25,000 | 25,000 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $9.15 | 2014-02-18 | 25,000 | 25,000 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $19.75 | 2020-03-04 | 13,787 | 13,787 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $20.04 | 2017-08-03 | 12,707 | 12,707 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $25.07 | 2018-12-17 | 15,176 | 15,176 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $25.28 | 2021-03-28 | 14,165 | 14,165 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2013-07-29 | 25,000 | 25,000 | Direct |
2014-02-18 | 25,000 | 25,000 | Direct |
2020-03-04 | 13,787 | 13,787 | Direct |
2017-08-03 | 12,707 | 12,707 | Direct |
2018-12-17 | 15,176 | 15,176 | Direct |
2021-03-28 | 14,165 | 14,165 | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2011.
- Represents (i) 55,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 12,189 shares underlying PSUs, of which 1,147 shares are vested and (iii) 3,181 shares purchased under the Employee Stock Purchase Plan.
- Options vested as to 100%.
- Options vested as to 100%.
- Options vested as to 100%.
- Options exercisable on March 4, 2014.
- Options vested as to one-third. Options exercisable as to one-third on August 3, 2012 and one-third on August 3, 2013.
- 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.