Filing Details

Accession Number:
0001181431-13-058286
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-12 16:33:10
Reporting Period:
2013-11-08
Filing Date:
2013-11-12
Accepted Time:
2013-11-12 16:33:10
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
1240177 Ronald Hassen One Liberty Plaza
New York NY 10006
Senior Vice President No 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 2013-11-08 10,209 $7.35 88,191 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2013-11-08 10,209 $36.00 77,982 No 4 S Direct
Common Stock, Par Value $0.01 Per Share Acquisiton 2013-11-11 37,411 $7.35 115,393 No 4 M Direct
Common Stock, Par Value $0.01 Per Share Disposition 2013-11-11 37,411 $36.03 77,982 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
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 2013-11-08 10,209 $0.00 10,209 $7.35
Common Stock Employee Stock Option (Right to Buy) Disposition 2013-11-11 37,411 $0.00 37,411 $7.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
37,411 2014-11-15 No 4 M Direct
0 2014-11-15 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) $19.75 2020-03-04 13,787 13,787 Direct
Common Stock Employee Stock Option (Right to Buy) $20.04 2017-08-03 12,707 12,707 Direct
Common Stock Employee Stock Option (Right to Buy) $25.07 2018-12-17 15,176 15,176 Direct
Common Stock Employee Stock Option (Right to Buy) $25.28 2021-03-28 14,165 14,165 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-03-04 13,787 13,787 Direct
2017-08-03 12,707 12,707 Direct
2018-12-17 15,176 15,176 Direct
2021-03-28 14,165 14,165 Direct
Footnotes
  1. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.01, 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 (1) to this Form 4.
  2. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.00 to $36.16, 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. Represents (i) 55,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 17,257 shares underlying PSUs, of which 7,092 shares are vested and (iii) 5,153 shares purchased under the Employee Stock Puchase Plan.
  4. Options exercisable.
  5. Options exercisable on March 4, 2014.
  6. Options exercisable.
  7. Options exercisable.
  8. Options exercisable on March 28, 2014.