SEC Form 4 · accession 0001209191-17-021111
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
Mar 14, 2017
Accepted (ET)
Mar 16, 2017 · 4:44 pm EDT
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 share | Mar 14, 2017 | M | 1,012 | $20.04 | A | 20,323 | D | |
| Common Stock, par value $0.01 per shareF1 | Mar 14, 2017 | S | 1,012 | $70.76 | D | 19,311 | 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)F2 | $20.04 | Mar 14, 2017 | M | 1,012 | D | — | Aug 3, 2017 | Common Stock | 1,012 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $25.28 | holding | — | — | — | — | Mar 28, 2021 | Common Stock | 2,833 | 2,833 | D |
Explanation of responses
- F1Represents (i) 5,027 shares or units of restricted stock, of which 4,095 are vested, (ii) 13,319 shares underlying PSUs, of which 4,874 shares are vested and (iii) 965 shares purchased under the Employee Stock Purchase Plan.
- F2Options exercisable.