SEC Form 4 · accession 0001209191-17-001119
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lars Ottersgard
Officer — Executive Vice President
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 5:01 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, 2016 | F | 1,696 | $66.68 | D | 15,214 | 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 a vesting of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents (i) 9,832 shares underlying performance share units, of which 8,479 are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan.