0001181431-14-031598.txt : 20140909 0001181431-14-031598.hdr.sgml : 20140909 20140909162731 ACCESSION NUMBER: 0001181431-14-031598 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140905 FILED AS OF DATE: 20140909 DATE AS OF CHANGE: 20140909 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: Wittman Thomas A CENTRAL INDEX KEY: 0001609097 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 141093612 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 4 1 rrd415909.xml FORM 4 - THOMAS WITTMAN - 9/9/14 X0306 4 2014-09-05 0 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001609097 Wittman Thomas A ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01 per share 2014-09-05 4 M 0 4662 19.75 A 51961 D Common Stock, par value $0.01 per share 2014-09-05 4 M 0 4924 25.07 A 56885 D Common Stock, par value $0.01 per share 2014-09-05 4 M 0 3782 25.75 A 60667 D Common Stock, par value $0.01 per share 2014-09-05 4 S 0 13368 43.05 D 47299 D Common Stock, par value $0.01 per share 2014-09-05 4 S 0 222 43.00 D 47077 D Employee Stock Option (Right to Buy) 19.75 2014-09-05 4 M 0 4662 0 D 2020-03-04 Common Stock 4662 0 D Employee Stock Option (Right to Buy) 25.07 2014-09-05 4 M 0 4924 0 D 2018-12-17 Common Stock 4924 0 D Employee Stock Option (Right to Buy) 25.75 2014-09-05 4 M 0 3782 0 D 2018-08-04 Common Stock 3782 0 D Employee Stock Option (Right to Buy) 25.28 2021-03-28 Common Stock 12748 12748 D The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.14, 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 (1) to this Form 4. Represents (i) 34,456 units of restricted stock, of which 25,497 are vested and (ii) 12,621 shares underlying PSUs, of which 4,316 are vested. Options exercisable. /s/ Edward S. Knight, by power of attorney 2014-09-09