SEC Form 4 · accession 0001209191-17-046465
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
Jul 25, 2017
Accepted (ET)
Jul 27, 2017 · 5:31 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 shareF2 | Jul 25, 2017 | F | 343 | $72.74 | D | 19,342 | 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 | $25.28 | holding | — | — | — | — | Mar 28, 2021 | Common Stock | 2,833 | 2,833 | D |
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) 4,684 vested shares or units of restricted stock, (ii) 13,319 shares underlying PSUs, of which 4,874 shares are vested and (iii) 1,339 shares purchased under the Employee Stock Purchase Plan.
- F3Options exercisable.