SEC Form 4 · accession 0001209191-15-073289
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
Oct 1, 2015
Accepted (ET)
Oct 2, 2015 · 4:37 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,F3 | Oct 1, 2015 | S | 10,231 | $53.10 | D | 85,399 | 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)F4 | $24.94 | holding | — | — | — | — | May 23, 2021 | Common Stock | 41,257 | 41,257 | D |
Explanation of responses
- F1The sale was effected pursuant to a Rule 10b5-1 trading plan.
- F2The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.81 to $53.46, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq, 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.
- F3Represents (i) 34,564 units of vested restricted stock granted pursuant to Nasdaq's Equity Incentive Plan and (ii) 50,835 vested shares underlying performance share units.
- F4Options exercisable.