SEC Form 4 · accession 0001209191-19-006153
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 29, 2019
Accepted (ET)
Jan 31, 2019 · 4:32 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 29, 2019 | A | 7,763 | $0.00 | A | 15,101 | D | |
| Common Stock, par value $0.01 per shareF4 | Jan 29, 2019 | F | 1,272 | $85.81 | D | 13,829 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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, 2016 through December 31, 2018.
- F2Also represents the settlement of 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 one-year performance period from January 1, 2018 through December 31, 2018.
- F3Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described in Footnote (1) above.
- F4Represents (i) 723 vested shares or units of restricted stock,(ii) 12,780 shares underlying PSUs, of which 4,773 shares are vested and (iii) 326 shares purchased under the Employee Stock Purchase plan.