-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CEUQalwzTtiAkK1NgxxPgAsJIRumZY437eJl9hIKLG6d5wGr48YRbGj6jXeO7I23 6eB8ykq9aMao+nD0EOgccg== 0000947871-02-000245.txt : 20020414 0000947871-02-000245.hdr.sgml : 20020414 ACCESSION NUMBER: 0000947871-02-000245 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC CENTRAL INDEX KEY: 0001135289 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1735 K STREET STREET 2: NW CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 202-728-8000 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ STOCK MARKET 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78034 FILM NUMBER: 02550051 BUSINESS ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2128584750 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 SC 13G 1 sc13g_021302.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b)(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) THE NASDAQ STOCK MARKET, INC. ----------------------------- (Name of Issuer) Common Stock, par value $0.01 per share --------------------------------------- (Title of Class of Securities) 631103 ------ (CUSIP Number) December 31, 2001 ----------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: | | Rule 13d-1(b) | | Rule 13d-1(c) |X| Rule 13d-1(d) 1 of 4 Pages SCHEDULE 13G - ----------------------- ------------------------- CUSIP No. 631103 Page 2 of 4 Pages - ----------------------- ------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) The National Association of Securities Dealers, Inc. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP Not applicable (a) [ ] (b) [ ] - ------- ----------------------------------------------------------------------- 3 SEC USE ONLY - ------- ----------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- | 5 | SOLE VOTING POWER | | | | | | 76,994,871 |-----|------------------------------------------ NUMBER OF | 6 | SHARED VOTING POWER SHARES | | BENEFICIALLY | | OWNED BY | | EACH |-----|------------------------------------------ REPORTING | 7 | SOLE DISPOSITIVE POWER PERSON | | WITH | | | | 76,994,871 |------------------------------------------------ | 8 | SHARED DISPOSITIVE POWER | | | | | | - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 76,994,871 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 68.9% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - ------------------------------------------------------------------------------- SCHEDULE 13G Item 1 (a) Name of Issuer: The Nasdaq Stock Market, Inc. Item 1 (b) Address of Issuer's Principal Executive Offices: One Liberty Plaza New York, New York 10006 Item 2 (a) Name of Person Filing: The National Association of Securities Dealers, Inc. Item 2 (b) Address of Principal Business Office: 1735 K Street, N.W. Washington, DC 20006 Item 2 (c) Citizenship: Delaware Item 2 (d) Title of Class of Securities: Common Stock, par value $0.01 per share Item 2 (e) CUSIP Number: 631103 Item 3 Not Applicable Item 4 Ownership: (a) Amount Beneficially Owned: 76,995,171 (b) Percent of Class: 68.9% (c) Number of Shares as to which the person has: (i) Sole power to vote or to direct the vote: 76,995,171 (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition of: 76,995,171 (iv) Shared power to dispose or to direct the disposition of: Item 5 Ownership of Five Percent or Less of a Class: Not Applicable Page 3 of 4 Pages Item 6 Ownership of More than Five Percent on Behalf of Another Person: Not Applicable Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person: Not Applicable Item 8 Identification and Classification of Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: Not Applicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2002 /s/ T. Grant Callery - ----------------------------------------------------- Signature Name: T. Grant Callery Title: Senior Vice President and General Counsel Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----