SEC Form 4 · accession 0001209191-15-047508
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Shavel
Officer — Executive Vice President
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 4:15 pm EDT
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 | May 26, 2015 | F | 25,787 | $51.93 | D | 105,861 | 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 | $24.94 | holding | — | — | — | — | May 23, 2021 | Common Stock | 41,257 | 41,257 | D |
Explanation of responses
- F1Represents the surrender of shares to pay withholding taxes in connection with a vesting of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents (i) 49,604 units of vested restricted stock granted pursuant to Nasdaq's Equity Incentive Plan and (ii) 56,257 vested shares underlying performance share units.
- F3Options exercisable.