SEC Form 4 · accession 0001209191-16-132910
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
Jul 13, 2016
Accepted (ET)
Jul 15, 2016 · 4:59 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 share | Jul 13, 2016 | M | 12,748 | $25.28 | A | 64,956 | D | |
| Common Stock, par value $0.01 per shareF2 | Jul 13, 2016 | S | 12,748 | $67.08 | D | 52,208 | D | |
| Common Stock, par value $0.01 per shareF3,F4 | Jul 13, 2016 | S | 12,145 | $67.08 | D | 40,505 | 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)F5 | $25.28 | Jul 13, 2016 | M | 12,748 | D | — | Mar 28, 2021 | Common Stock | 12,748 | 0 | D |
Explanation of responses
- F1The reported 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 $66.87 to $67.64, 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.
- F3The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.87 to $67.64, 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 (3) to this Form 4.
- F4Represents (i) 18,312 units of vested restricted stock, (ii) 20,990 shares underlying performance share units, of which 16,195 are vested and (iii) 1,203 shares purchased under the Employee Share Purchase Plan.
- F5Options exercisable.