SEC Form 4 · accession 0001209191-18-002070
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ann M Dennison
Officer — Controller and Prin Acctg Ofcr
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 5:16 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 share | Jan 2, 2018 | F | 510 | $76.74 | D | 4,621 | D | |
| Common Stock, par value $0.01 per share | Jan 3, 2018 | A | 2,407 | $0.00 | A | 7,028 | D | |
| Common Stock, par value $0.01 per shareF4 | Jan 3, 2018 | F | 975 | $77.66 | D | 6,053 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan.
- F2Represents the settlement of performance share units (PSUs) that were previously granted under Nasdaq's Equity Incentive Plan. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a three-year performance period from January 1, 2015 through December 31, 2017.
- F3Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above.
- F4Represents (i) 915 shares or units of restricted stock, of which 353 are vested and (ii) 5,138 shares underlying PSUs, of which 2,327 are vested.