SEC Form 4 · accession 0001209191-17-031971
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Kloet
Director
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:32 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 shareF1,F2 | May 10, 2017 | A | 4,119 | $0.00 | A | 11,631 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock vests as to 100% on May 10, 2018.
- F2Represents (i) 9,631 shares or units of restricted stock granted pursuant to Nasdaq's Equity Incentive Plan, of which 5,512 are vested as of the date hereof and (ii) 2,000 shares of common stock acquired through open market purchases.