5//SEC Filing
NASDAQ OMX GROUP, INC. 5
Accession 0001181431-12-019746
$NDAQCIK 0001120193operating
Filed
Mar 26, 8:00 PM ET
Accepted
Mar 27, 5:38 PM ET
Size
12.2 KB
Accession
0001181431-12-019746
Insider Transaction Report
Form 5
Investment CORP of Dubai
10% Owner
Transactions
- Other
Common Stock, Par Value $0.01 Per Share
2011-06-23+17,660,367→ 29,780,515 total
Borse Dubai LTD
10% Owner
Transactions
- Other
Common Stock, Par Value $0.01 Per Share
2011-06-23+17,660,367→ 29,780,515 total
Footnotes (3)
- [F1]Pursuant to a letter of instruction and cancellation dated June 23, 2011 ("Letter of Instruction"), the Reporting Person directly acquired 17,660,367, or 10.2%, of the outstanding shares of the Issuer which were previously indirectly beneficially owned by it through Borse Dubai Nasdaq Share Trust (the "Trust"), of which Borse Dubai is the sole beneficial owner, increasing the Reporting Person's beneficial ownership from 7.0% to 17.2%. The transfer of such shares was agreed to by the Issuer pursuant to the Letter of Instruction.
- [F2]The Trust, transferred all 17,660,367 outstanding shares of the Issuer to Borse Dubai as part of the refinancing of a facility agreement, whereby the outstanding shares were transferred directly from Nomura International plc (who held them as custodian) to Borse Dubai. As a result, the Trust was therefore dissolved following the transfer of its outstanding shares from Nomura International plc directly to Borse Dubai. Other than the payment of all liabilities of the Trust (such as fees and expenses), no other consideration was paid by Borse Dubai to the Trust for the transfer of the 17,660,367 outstanding shares.
- [F3]Investment Corporation of Dubai is the majority shareholder of Borse Dubai Limited. Investment Corporation of Dubai is therefore deemed to have beneficial ownership of all of the Non-Derivative Securities and Derivative Securities held by Borse Dubai Limited. Borse Dubai Limited has direct beneficial ownership of 29,780,515 Shares.
Issuer
NASDAQ OMX GROUP, INC.
CIK 0001120193
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001120193
Filing Metadata
- Form type
- 5
- Filed
- Mar 26, 8:00 PM ET
- Accepted
- Mar 27, 5:38 PM ET
- Size
- 12.2 KB