0001181431-14-024374.txt : 20140625
0001181431-14-024374.hdr.sgml : 20140625
20140618160711
ACCESSION NUMBER: 0001181431-14-024374
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140616
FILED AS OF DATE: 20140618
DATE AS OF CHANGE: 20140618
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NASDAQ OMX GROUP, 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 STOCK MARKET INC
DATE OF NAME CHANGE: 20010423
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AUST BRUCE
CENTRAL INDEX KEY: 0001254646
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-32651
FILM NUMBER: 14928185
MAIL ADDRESS:
STREET 1: 1801 K STREET NW
CITY: WASHINGTON
STATE: DC
ZIP: 20006
4
1
rrd411916.xml
FORM 4 - BRUCE AUST - 06/16/2014
X0306
4
2014-06-16
0
0001120193
NASDAQ OMX GROUP, INC.
NDAQ
0001254646
AUST BRUCE
ONE LIBERTY PLAZA
NEW YORK
NY
10006
0
1
0
0
Executive Vice President
Common Stock, par value $0.01 per share
2014-06-16
4
M
0
20000
7.35
A
118101
D
Common Stock, par value $0.01 per share
2014-06-16
4
S
0
20000
36.49
D
98101
D
Employee Stock Option (Right to Buy)
7.35
2014-06-16
4
M
0
20000
0
D
2014-11-15
Common Stock
20000
0
D
Employee Stock Option (Right to Buy)
19.75
2020-03-04
Common Stock
25210
25210
D
Employee Stock Option (Right to Buy)
25.07
2018-12-17
Common Stock
45528
45528
D
Employee Stock Option (Right to Buy)
25.28
2021-03-28
Common Stock
25496
25496
D
Employee Stock Option (Right to Buy)
35.92
2016-12-13
Common Stock
32558
32558
D
Employee Stock Option (Right to Buy)
45.38
2017-12-12
Common Stock
22564
22564
D
The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2013.
The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.37 to $36.70, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. 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 (2) to this Form 4.
Represents (i) 32,274 vested shares of restricted stock, (ii) 59,640 shares underlying PSUs, of which 45,399 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan.
Options exercisable.
/s/ Edward S. Knight, by power of attorney
2014-06-18