SEC Form 4 · accession 0001209191-17-041120
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adena T Friedman
Officer — President and CEO · Director
Period of report
Jun 16, 2017
Accepted (ET)
Jun 20, 2017 · 5:18 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 $0.00 per shareF2 | Jun 16, 2017 | F | 28,127 | $71.16 | D | 175,474 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transaction consists of a surrender of shares to pay withholding taxes in connection with a vesting of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents (i) 81,584 shares of vested restricted stock, (ii) 59,439 vested shares underlying PSUs and (iii) 34,451 shares granted under Nasdaq's Equity Incentive Plan or acquired under Nasdaq's Employee Stock Purchase Plan when Ms. Friedman was previously an employee of Nasdaq.