SEC Form 5 · accession 0001181431-15-001725

NASDAQ, INC. · NDAQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Vice President

Period of report

Dec 31, 2014

Accepted (ET)

Feb 2, 2015 · 4:13 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 share^F1,F2	Aug 11, 2009	G	3,000	$0.00	D	60,571	D
Common Stock, par value $0.01 per share^F1,F2	Oct 28, 2011	G	2,400	$0.00	D	60,571	D

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

F1These shares were included in Box 5 of Forms 4 filed by the reporting person after the date of the bona fide charitable gift through December 2014.
F2The amount reported reflects the amount of securites beneficially owned as of the date of this filing and represents (i) 41,663 vested shares underlying performance share units and (ii) 18,908 shares purchased under the Employee Stock Purchase Plan.
F3Exercisable options.