Filing Details

Accession Number:
0001181431-12-064820
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-12-14 16:36:09
Reporting Period:
2012-12-12
Filing Date:
2012-12-14
Accepted Time:
2012-12-14 16:36:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1120193 Nasdaq Omx Group Inc. NDAQ Security & Commodity Brokers, Dealers, Exchanges & Services (6200) 521165937
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1214669 Robert Greifeld One Liberty Plaza
New York NY 10006
Ceo Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 Per Share Acquisiton 2012-12-12 35,838 $5.28 708,893 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-12 35,838 $24.10 673,055 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2012-12-12 39,162 $5.28 712,217 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-12 39,162 $24.49 673,055 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2012-12-13 75,000 $5.28 748,055 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2012-12-13 75,000 $24.29 673,055 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-12-12 75,000 $0.00 75,000 $5.28
Common Stock Employee Stock Option (Right to Buy) Disposition 2012-12-13 75,000 $0.00 75,000 $5.28
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
550,000 2013-04-15 No 4 M Direct
475,000 2013-04-15 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option (Right to Buy) $6.30 2013-06-11 1,000,000 1,000,000 Direct
Common Stock Employee Stock Option (Right to Buy) $21.31 2019-06-30 900,000 900,000 Direct
Common Stock Employee Stock Option (Right to Buy) $35.92 2016-12-13 960,000 960,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2013-06-11 1,000,000 1,000,000 Direct
2019-06-30 900,000 900,000 Direct
2016-12-13 960,000 960,000 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 26, 2012.
  2. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.40 to $24.39, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. 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.
  3. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.40 to $24.73, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. 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.
  4. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.18 to $24.41, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. 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 (4) to this Form 4.
  5. Represents (i) 300,000 shares of common stock acquired upon exercise of vested stock options, (ii) 209,383 vested shares of restricted stock and (iii) 163,672 vested shares underlying PSUs.
  6. Options exercisable as to 100%.
  7. Options exercisable as to 100%.
  8. Options exercisable as to 450,000 shares on each of December 31, 2011 and December 31, 2012.
  9. Options exercisable as to 100%.