-----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, MNfhLZ7c22g8MyhnVFOFbj2+FQZV1wgtPqyLCek3H0CXKouG1maquqMgKmgBVGxE 27akJHzkDrxjdX9k7pXUoQ== 0000904454-09-000513.txt : 20091005 0000904454-09-000513.hdr.sgml : 20091005 20091005185604 ACCESSION NUMBER: 0000904454-09-000513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091001 FILED AS OF DATE: 20091005 DATE AS OF CHANGE: 20091005 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: HUTCHINS GLENN H CENTRAL INDEX KEY: 0001027038 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 091106752 MAIL ADDRESS: STREET 1: C/O SILVER LAKE PARTNERS STREET 2: 2725 SAND HILL ROAD, SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-10-01 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001027038 HUTCHINS GLENN H 9 WEST 57TH STREET 32ND FLOOR NEW YORK NY 10019 1 0 0 0 Series A Convertible Preferred Stock 2009-10-01 4 A 0 1586619.53 0 A 1586619.53 I By Silver Lake Funds Each share of Series A Convertible Preferred Stock will automatically convert, if the issuer's shareholders approve such conversion, into a number of shares of Common Stock equal to the liquidation preference divided by the volume-weighted average price of Common Stock over a period of days preceding the date of conversion (subject to minimum and maximum conversion amounts and adjustments upon certain corporate events). If not converted, the preferred stock is subject to mandatory redemption on October 1, 2013. As used herein, "Silver Lake Funds" refers to, collectively, Silver Lake Partners TSA, L.P., Silver Lake Investors, L.P., Silver Lake Partners II TSA, L.P. and Silver Lake Technology Investors II, L.P. Mr. Hutchins is a managing director of (i) Silver Lake Technology Associates, L.L.C., which is the general partner of Silver Lake Partners TSA, L.P. and Silver Lake Investors, L.P., and (ii) Silver Lake Technology Associates II, L.L.C., which is the general partner of Silver Lake Partners II TSA, L.P. and Silver Lake Technology Investors II, L.P. Mr. Hutchins disclaims beneficial ownership of the Nasdaq securities held by the Silver Lake Funds, except to the extent of any indirect pecuniary interest therein. /s/ Karen M. King, by power of attorney 2009-10-05 -----END PRIVACY-ENHANCED MESSAGE-----