SEC Form 4 · accession 0001209191-18-057553
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
Nov 5, 2018
Accepted (ET)
Nov 7, 2018 · 4:05 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 | Nov 5, 2018 | F | 192 | $88.76 | D | 8,229 | 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 (i) 723 vested units of restricted stock, (ii) 7,180 shares underlying PSUs, of which 774 are vested, and (iii) 326 shares purchased under the Employee Stock Purchase Plan.