SEC Form 4 · accession 0001209191-17-001131
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, 2016
Accepted (ET)
Jan 4, 2017 · 5:03 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 | 1,468 | $66.68 | D | 39,037 | 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) 18,312 units of vested restricted stock, (ii) 19,522 shares underlying performance share units, of which 17,750 are vested and (iii) 1,203 shares purchased under the Employee Share Purchase Plan.