SEC Form 4 · accession 0001209191-18-004113
NASDAQ, INC. · NDAQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley J Peterson
Officer — Executive Vice President
Period of report
Jan 12, 2018
Accepted (ET)
Jan 17, 2018 · 7:42 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 shareF2 | Jan 12, 2018 | S | 10,000 | $80.70 | D | 32,214 | D | |
| Common stock, par value $0.01 per shareF3,F4 | Jan 12, 2018 | S | 9,169 | $80.69 | D | 23,045 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported sale was effected pursuant to a Rule 10b5-1 trading plan.
- F2The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.34 to $81.01, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
- F3The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.26 to $81.01, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
- F4Represents (i) 13,141 shares of vested restricted stock, (ii) 8,741 vested shares underlying performance share units and (iii) 1,163 shares purchased under the Employee Stock Purchase Plan.