Filing Details
- Accession Number:
- 0001181431-14-026423
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-08 16:20:20
- Reporting Period:
- 2014-07-03
- Filing Date:
- 2014-07-08
- Accepted Time:
- 2014-07-08 16:20:20
- 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 |
|---|---|---|---|---|---|---|---|
| 1347221 | M Anna Ewing | One Liberty Plaza New York NY 10006 | Executive 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 | 2014-07-03 | 34,664 | $19.75 | 145,238 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-07-03 | 34,664 | $39.75 | 110,574 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2014-07-03 | 100 | $40.00 | 110,474 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2014-07-03 | 34,664 | $0.00 | 34,664 | $19.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-03-04 | 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) | $25.28 | 2021-03-28 | 39,661 | 39,661 | Direct | |
| Common Stock | Employee Stock Option (Right to Buy) | $45.38 | 2017-12-12 | 22,564 | 22,564 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-03-28 | 39,661 | 39,661 | Direct |
| 2017-12-12 | 22,564 | 22,564 | Direct |
Footnotes
- The exercise and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2014.
- Represents (i) 42,283 vested shares of restricted stock, (ii) 50,440 shares underlying PSUs, of which 28,288 shares are vested and (iii) 17,751 shares purchased under the Employee Stock Purchase Plan.
- Options exercisable.
Billionaire Hedge Funds
