SEC Form 4 · accession 0001209191-16-088651
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Wittman
Officer — Executive Vice President
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 4:26 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, 2015 | F | 1,617 | $58.17 | D | 49,592 | 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 | $25.28 | holding | — | — | — | — | Mar 28, 2021 | Common Stock | 12,748 | 12,748 | 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) 30,457 units of vested restricted stock, (ii) 18,374 shares underlying performance share units, of which 13,579 are vested and (iii) 761 shares purchased under the Employee Share Purchase Plan.
- F3Options exercisable.