SEC Form 4 · accession 0001209191-17-001124
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stacie Swanstrom
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 | 1,547 | $66.68 | D | 13,056 | 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 | $20.04 | holding | — | — | — | — | Aug 3, 2017 | Common Stock | 1,012 | 1,012 | D |
| Employee Stock Option (Right to Buy)F3 | $25.28 | holding | — | — | — | — | Mar 28, 2021 | Common Stock | 2,833 | 2,833 | 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) 5,027 shares or units of restricted stock, of which 4,095 are vested, (ii) 7,064 shares underlying PSUs, of which 2,572 shares are vested and (iii) 965 shares purchased under the Employee Stock Purchase Plan.
- F3Options exercisable.