SEC Form 4 · accession 0001209191-16-148692
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann M Dennison
Officer — Controller and Prin Acctg Ofcr
Period of report
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 5:28 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 $0.01F2 | Nov 3, 2016 | F | 209 | $64.16 | D | 1,919 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents (i) 1,477 shares or units of restricted stock, of which 353 are vested and (ii) 442 shares purchased under the Employee Stock Purchase Plan.