0001181431-12-067214.txt : 20121227 0001181431-12-067214.hdr.sgml : 20121227 20121227073715 ACCESSION NUMBER: 0001181431-12-067214 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121224 FILED AS OF DATE: 20121227 DATE AS OF CHANGE: 20121227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GREIFELD ROBERT CENTRAL INDEX KEY: 0001214669 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 121286227 MAIL ADDRESS: STREET 1: C/O THE NASDAQ STOCK MARKET, INC STREET 2: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 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 4 1 rrd364844.xml FORM 4 - ROBERT GREIFELD 12/24/2012 X0306 4 2012-12-24 0 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001214669 GREIFELD ROBERT ONE LIBERTY PLAZA NEW YORK NY 10006 1 1 0 0 CEO Common Stock, par value $0.01 per share 2012-12-24 4 M 0 20000 6.3 A 693055 D Common Stock, par value $0.01 per share 2012-12-24 4 S 0 20000 25.28 D 673055 D Common Stock, par value $0.01 per share 2012-12-26 4 M 0 55000 6.3 A 728055 D Common Stock, par value $0.01 per share 2012-12-26 4 S 0 55000 25.17 D 673055 D Employee Stock Option (Right to Buy) 6.30 2012-12-24 4 M 0 20000 0 D 2013-06-11 Common Stock 20000 755000 D Employee Stock Option (Right to Buy) 6.30 2012-12-26 4 M 0 55000 0 D 2013-06-11 Common Stock 55000 700000 D Employee Stock Option (Right to Buy) 21.31 2019-06-30 Common Stock 900000 900000 D Employee Stock Option (Right to Buy) 35.92 2016-12-13 Common Stock 960000 960000 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 26, 2012. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.18 to $25.59, 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. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.07 to $25.34, 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 (3) to this Form 4. Represents (i) 300,000 shares of common stock acquired upon exercise of vested stock options, (ii) 209,383 vested shares of restricted stock and (iii) 163,672 vested shares underlying PSUs. Options exercisable as to 100%. Options exercisable as to 450,000 shares on each of December 31, 2011 and December 31, 2012. Options exercisable as to 100%. /s/ Edward S. Knight, by power of attorney 2012-12-27