0001209191-16-153458.txt : 20161205
0001209191-16-153458.hdr.sgml : 20161205
20161205173626
ACCESSION NUMBER: 0001209191-16-153458
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161201
FILED AS OF DATE: 20161205
DATE AS OF CHANGE: 20161205
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NASDAQ, INC.
CENTRAL INDEX KEY: 0001120193
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200]
IRS NUMBER: 521165937
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE LIBERTY PLAZA
CITY: NEW YORK
STATE: NY
ZIP: 10006
BUSINESS PHONE: 2124018700
MAIL ADDRESS:
STREET 1: ONE LIBERTY PLAZA
CITY: NEW YORK
STATE: NY
ZIP: 10006
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GREIFELD ROBERT
CENTRAL INDEX KEY: 0001214669
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-32651
FILM NUMBER: 162034685
MAIL ADDRESS:
STREET 1: C/O THE NASDAQ STOCK MARKET, INC
STREET 2: ONE LIBERTY PLAZA
CITY: NEW YORK
STATE: NY
ZIP: 10006
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-12-01
0
0001120193
NASDAQ, INC.
NDAQ
0001214669
GREIFELD ROBERT
ONE LIBERTY PLAZA
NEW YORK
NY
10006
1
1
0
0
CEO
Common Stock, par value $0.01 per share
2016-12-01
4
M
0
40622
35.92
A
1030437
D
Common Stock, par value $0.01 per share
2016-12-01
4
S
0
40622
63.58
D
989815
D
Common Stock, par value $0.01 per share
2016-12-02
4
M
0
4781
35.92
A
994596
D
Common Stock, par value $0.01 per share
2016-12-02
4
S
0
4781
64.24
D
989815
D
Employee Stock Option (Right to Buy)
35.92
2016-12-01
4
M
0
40622
0.00
D
2016-12-13
Common Stock
40622
70781
D
Employee Stock Option (Right to Buy)
35.92
2016-12-02
4
M
0
4781
0.00
D
2016-12-13
Common Stock
4781
66000
D
Employee Stock Option (Right to Buy)
21.31
2019-06-30
Common Stock
900000
900000
D
The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.50 to $63.69, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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.
The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.10 to $64.47, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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.
Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan.
Options exercisable as to 100%.
/s/ Edward S. Knight, by power of attorney
2016-12-05