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