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