0000950170-24-039511.txt : 20240401 0000950170-24-039511.hdr.sgml : 20240401 20240401171232 ACCESSION NUMBER: 0000950170-24-039511 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240328 FILED AS OF DATE: 20240401 DATE AS OF CHANGE: 20240401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPLINTER MICHAEL R CENTRAL INDEX KEY: 0001188935 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38855 FILM NUMBER: 24810833 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ, INC. CENTRAL INDEX KEY: 0001120193 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] ORGANIZATION NAME: 02 Finance IRS NUMBER: 521165937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 151 W. 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 1 212 401 8700 MAIL ADDRESS: STREET 1: 151 W. 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ OMX GROUP, INC. DATE OF NAME CHANGE: 20080227 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ STOCK MARKET INC DATE OF NAME CHANGE: 20010423 4 1 ownership.xml 4 X0508 4 2024-03-28 0001120193 NASDAQ, INC. NDAQ 0001188935 SPLINTER MICHAEL R 151 W. 42ND STREET NEW YORK NY 10036 true false false false false Common Stock, par value $0.01 per share 2024-03-28 4 G false 3930 0 D 204559 D Common Stock, par value $0.01 per share 2024-03-28 4 G false 3930 0 A 10545 I Held by family trusts Represents 204,559 shares or units of restricted stock granted pursuant to Nasdaq's Equity Incentive Plan, of which 196,056 are vested as of the date hereof. Each of the family trusts that were gifted shares by the Reporting Person entered into a Lock-Up Agreement, dated as of March 27, 2024, with Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC (each, a "Lock-Up Agreement"). Under the terms of each Lock-Up Agreement, each trust has agreed not to sell or otherwise transfer such shares during the period from the transaction date until the close of business 90 days after March 19, 2024, subject to certain exceptions. Each transfer was a bona fide gift to a family member of the Reporting Person. Reflects shares gifted by the reporting person to family trusts, of which the reporting person is a trustee. /s/ Alex Kogan, by power of attorney 2024-04-01