4//SEC Filing
NASDAQ OMX GROUP, INC. 4
Accession 0001181431-13-063082
$NDAQCIK 0001120193operating
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 4:20 PM ET
Size
16.7 KB
Accession
0001181431-13-063082
Insider Transaction Report
Form 4
AUST BRUCE
Executive Vice President
Transactions
- Exercise/Conversion
Employee Stock Option (Right to Buy)
2013-12-13−7,500→ 0 totalExercise: $9.15Exp: 2014-02-18→ Common Stock (7,500 underlying) - Sale
Common Stock, par value $0.01 per share
2013-12-13$38.87/sh−7,500$291,525→ 114,751 total - Exercise/Conversion
Common Stock, par value $0.01 per share
2013-12-13$9.15/sh+7,500$68,625→ 122,251 total
Holdings
- 120,000
Employee Stock Option (Right to Buy)
Exercise: $7.35Exp: 2014-11-15→ Common Stock (120,000 underlying) - 32,558
Employee Stock Option (Right to Buy)
Exercise: $35.92Exp: 2016-12-13→ Common Stock (32,558 underlying) - 25,210
Employee Stock Option (Right to Buy)
Exercise: $19.75Exp: 2020-03-04→ Common Stock (25,210 underlying) - 45,528
Employee Stock Option (Right to Buy)
Exercise: $25.07Exp: 2018-12-17→ Common Stock (45,528 underlying) - 25,496
Employee Stock Option (Right to Buy)
Exercise: $25.28Exp: 2021-03-28→ Common Stock (25,496 underlying) - 22,564
Employee Stock Option (Right to Buy)
Exercise: $45.38Exp: 2017-12-12→ Common Stock (22,564 underlying)
Footnotes (10)
- [F1]The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2013.
- [F10]Options exercisable.
- [F2]The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.77 to $38.97, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
- [F3]Represents (i) 32,274 vested shares of restricted stock, (ii) 76,290 shares underlying PSUs, of which 37,006 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
- [F4]Options exercisable.
- [F5]Options exercisable.
- [F6]Options exercisable on March 4, 2014.
- [F7]Options exercisable.
- [F8]Options exercisable on March 28, 2014.
- [F9]Options exercisable.
Documents
Issuer
NASDAQ OMX GROUP, INC.
CIK 0001120193
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001120193
Filing Metadata
- Form type
- 4
- Filed
- Dec 16, 7:00 PM ET
- Accepted
- Dec 17, 4:20 PM ET
- Size
- 16.7 KB