-----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, Punq610ZupY56LetRy+CEvMXvAMLB4NiBzYFEQ3JEUZqFdC8z5hVL2JnYG2a17AL gTZu2rFJ8R+Lx5N8B5G40A== 0000947871-04-000324.txt : 20040213 0000947871-04-000324.hdr.sgml : 20040213 20040213160107 ACCESSION NUMBER: 0000947871-04-000324 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 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: 04599082 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 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 SC 13G 1 sc13g_021204-nasdaq.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 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, 2003 (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) Page 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. IRS # 53-0088710 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| Not applicable (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 43,190,146 SHARES ----------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH ----------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 10,770,664 ----------------------------------------------- 8 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 43,190,146 - -------------------------------------------------------------------------------- 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) 55.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- Page 2 of 4 Pages 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: 43,190,146 (b) Percent of Class: 55.1% (c) Number of Shares as to which the person has: (i) Sole power to vote or to direct the vote: 43,190,146 (ii) Shared power to vote or to direct the vote: (iii) Sole power to dispose or to direct the disposition of: 10,770,664 (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 13, 2004 /s/ Todd T. Diganci - -------------------------- Signature Name: Todd T. Diganci Title: Executive Vice President and Chief Financial Officer Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----