SEC Form 4 · accession 0001181431-15-000355
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald Hassen
Officer — Senior Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 8:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001120193
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF2 | Dec 31, 2014 | F | 2,384 | $47.96 | D | 61,869 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transactions reported on this Form 4 consist of surrenders of shares to pay withholding taxes in connection with the vestings of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents (i) 51,775 shares or units of restricted stock, of which 1,775 are vested, (ii) 9,850 shares underlying performance share units, of which 6,008 shares are vested and (iii) 244 shares purchased under the Employee Stock Puchase Plan.