0001209191-17-006741.txt : 20170201 0001209191-17-006741.hdr.sgml : 20170201 20170201164218 ACCESSION NUMBER: 0001209191-17-006741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170130 FILED AS OF DATE: 20170201 DATE AS OF CHANGE: 20170201 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: 17565433 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 2017-01-30 0 0001120193 NASDAQ, INC. NDAQ 0001214669 GREIFELD ROBERT ONE LIBERTY PLAZA NEW YORK NY 10006 1 1 0 0 CHAIRMAN Common Stock, par value $0.01 per share 2017-01-30 4 A 0 360000 0.00 A 1349815 D Common Stock, par value $0.01 per share 2017-01-30 4 F 0 188491 68.18 D 1161324 D Employee Stock Option (Right to Buy) 21.31 2019-06-30 Common Stock 900000 900000 D Represents the settlement of performance share units (PSUs) that were granted under Nasdaq's Equity Incentive Plan on March 31, 2014. The ultimate amount of shares to be received under the grants depended upon the achievement of performance goals during a three-year performance period from January 1, 2014 through December 31, 2016. On January 30, 2017, Nasdaq's Board of Directors approved the settlement of the PSU grants. The shares underlying the PSUs vested on December 31, 2016. Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 695,501 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 2017-02-01