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
  1. 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.
  2. 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.
  3. Options vested as to 100%.
  4. Options vested as to 100%.
  5. Options vested as to 100%.
  6. Options exercisable on March 4, 2014.
  7. Options vested as to one-third. Options exercisable as to one-third on August 3, 2012 and one-third on August 3, 2013.
  8. Options exercisable on December 17, 2012.
  9. 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.