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