SEC Form 5 · accession 0001209191-17-010466
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Greifeld
Officer — CHAIRMAN · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 4:18 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 shareF1,F2 | Dec 27, 2016 | G | 744 | $0.00 | D | 988,436 | D | |
| Common Stock, par value $0.01 per shareF1,F2 | Dec 29, 2016 | G | 635 | $0.00 | D | 988,436 | 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 | $21.31 | holding | — | — | — | — | Jun 30, 2019 | Common Stock | 900,000 | 900,000 | D |
Explanation of responses
- F1These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift.
- F2The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan.
- F3Options exercisable as to 100%.