SEC Form 4 · accession 0001181431-15-000362
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward S Knight
Officer — Executive Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 8:19 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 | 7,193 | $47.96 | D | 60,571 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $19.75 | holding | — | — | — | — | Mar 4, 2020 | Common Stock | 22,059 | 22,059 | D |
| Employee Stock Option (Right to Buy)F3 | $25.07 | holding | — | — | — | — | Dec 17, 2018 | Common Stock | 39,458 | 39,458 | D |
| Employee Stock Option (Right to Buy)F3 | $25.28 | holding | — | — | — | — | Mar 28, 2021 | Common Stock | 25,496 | 25,496 | D |
| Employee Stock Option (Right to Buy)F3 | $35.92 | holding | — | — | — | — | Dec 13, 2016 | Common Stock | 28,801 | 28,801 | D |
| Employee Stock Option (Right to Buy)F3 | $45.38 | holding | — | — | — | — | Dec 12, 2017 | Common Stock | 19,555 | 19,555 | D |
Explanation of responses
- F1The transactions reported on this Form 4 consist of surrenders of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan
- F2Represents (i) 41,663 vested shares underlying performance share units and (ii) 18,908 shares purchased under the Employee Stock Purchase Plan.
- F3Options exercisable.