0001209191-22-013149.txt : 20220225 0001209191-22-013149.hdr.sgml : 20220225 20220225161255 ACCESSION NUMBER: 0001209191-22-013149 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220223 FILED AS OF DATE: 20220225 DATE AS OF CHANGE: 20220225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Peterson Bradley J CENTRAL INDEX KEY: 0001568592 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38855 FILM NUMBER: 22680091 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 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: 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 doc4.xml FORM 4 SUBMISSION X0306 4 2022-02-23 0 0001120193 NASDAQ, INC. NDAQ 0001568592 Peterson Bradley J 151 W. 42ND STREET NEW YORK NY 10036 0 1 0 0 Executive Vice President Common Stock, par value $0.01 2022-02-23 4 A 0 40722 0.00 A 57206 D Common Stock, par value $0.01 2022-02-23 4 F 0 17190 168.19 D 40016 D Common Stock, par value $0.01 2022-02-24 4 S 0 7500 163.79 D 32516 D Represents the settlement of performance share units (PSUs) that were previously granted under Nasdaq's Equity Incentive Plan. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a three-year performance period from January 1, 2019 through December 31, 2021. Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. The reported sale was effected pursuant to a Rule 10b5-1 trading plan. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $166.39, 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 (4) to this Form 4. Represents (i) 11,587 shares or units of restricted stock, of which 5,167 are vested, (ii) 19,741 shares underlying PSUs, all of which are vested and (iii) 1,188 shares purchased under the Employee Stock Purchase Plan. /s/ Alex Kogan, by power of attorney 2022-02-25