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4//SEC Filing

NASDAQ OMX GROUP, INC. 4

Accession 0001181431-14-002891

$NDAQCIK 0001120193operating
View on SEC.govCompany Profile

Filed

Jan 16, 7:00 PM ET

Accepted

Jan 17, 4:07 PM ET

Size

15.5 KB

Accession

0001181431-14-002891

Insider Transaction Report

Form 4
Period: 2014-01-15
NASDAQ OMX GROUP, INC.NDAQ
AUST BRUCE
Executive Vice President
Transactions
  • Exercise/Conversion

    Common Stock, par value $0.01 per share

    2014-01-15$7.35/sh+20,000$147,000→ 118,101 total
  • Exercise/Conversion

    Employee Stock Option (Right to Buy)

    2014-01-15−20,000→ 100,000 total
    Exercise: $7.35Exp: 2014-11-15→ Common Stock (20,000 underlying)
  • Sale

    Common Stock, par value $0.01 per share

    2014-01-15$39.41/sh−20,000$788,200→ 98,101 total
Holdings

  • Employee Stock Option (Right to Buy)

    Exercise: $19.75Exp: 2020-03-04→ Common Stock (25,210 underlying)
    25,210

  • Employee Stock Option (Right to Buy)

    Exercise: $25.07Exp: 2018-12-17→ Common Stock (45,528 underlying)
    45,528

  • Employee Stock Option (Right to Buy)

    Exercise: $35.92Exp: 2016-12-13→ Common Stock (32,558 underlying)
    32,558

  • Employee Stock Option (Right to Buy)

    Exercise: $45.38Exp: 2017-12-12→ Common Stock (22,564 underlying)
    22,564

  • Employee Stock Option (Right to Buy)

    Exercise: $25.28Exp: 2021-03-28→ Common Stock (25,496 underlying)
    25,496
Footnotes (9)
  • [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.
  • [F2]The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.08 to $39.75, 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) 59,640 shares underlying PSUs, of which 45,399 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
  • [F4]Options exercisable.
  • [F5]Options exercisable on March 4, 2014.
  • [F6]Options exercisable.
  • [F7]Options exercisable on March 28, 2014.
  • [F8]Options exercisable.
  • [F9]Options exercisable.

Documents

1 file

Issuer

NASDAQ OMX GROUP, INC.

CIK 0001120193

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001120193

Filing Metadata

Form type
4
Filed
Jan 16, 7:00 PM ET
Accepted
Jan 17, 4:07 PM ET
Size
15.5 KB
View on SEC.gov