-----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, Oswao6c0u4RoXAAB0RKTbyx5cX653bMxGLn2DPlpQKPkVA03twHvCaqRb9aCDa/g 96Nqvbje6dr9F+uySPKhwg== 0000904454-08-000466.txt : 20081210 0000904454-08-000466.hdr.sgml : 20081210 20081210165146 ACCESSION NUMBER: 0000904454-08-000466 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081208 FILED AS OF DATE: 20081210 DATE AS OF CHANGE: 20081210 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: 081241496 BUSINESS ADDRESS: STREET 1: C/O THE BLACKSTONE GROUP STREET 2: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 650 233 8130 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 2008-12-08 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001027038 HUTCHINS GLENN H 9 WEST 57TH STREET 25TH FLOOR NEW YORK NY 10019 1 0 0 0 Common Stock 2008-12-08 4 X 0 1523325 14.50 A 1523325 I By Silver Lake Funds Series A Warrants (Right to Buy Common Stock) 14.50 2008-12-08 4 X 0 1523325 0 D 2006-04-22 2008-12-08 Common Stock 1523325 0 I By Silver Lake Funds The Silver Lake Funds referred to herein are (i) Silver Lake Investors, L.P., (ii) Silver Lake Partners TSA, L.P., (iii) Silver Lake Technology Investors II, L.P. and (iv) Silver Lake Partners II TSA, 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 Investors, L.P. and Silver Lake Partners TSA, L.P., and (ii) Silver Lake Technology Associates II, L.L.C., which is the general partner of Silver Lake Technology Investors II, L.P. and Silver Lake Partners II TSA, L.P. Mr. Hutchins disclaims beneficial ownership of the securities of the Issuer held by each such entity, except to the extent of any pecuniary interest he may have therein. Mr. Hutchins also directly beneficially owns 8,402 shares of restricted Common Stock granted to him pursuant to the Issuer's Equity Incentive Plan. Pursuant to his arrangements with Silver Lake Technology Management, L.L.C. with respect to director compensation, such shares or the proceeds therefrom are expected to be assigned to Silver Lake Technology Management, L.L.C. Of such 1,523,325 shares of Common Stock underlying the Series A Warrants, (i) 223,810 are held by Silver Lake Partners TSA, L.P., (ii) 6,300 are held by Silver Lake Investors, L.P., (iii) 1,291,415 are held by Silver Lake Partners II TSA, L.P. and (iv) 1,800 are held by Silver Lake Technology Investors II, L.P. As previously reported, the Silver Lake Funds also hold Series A Notes convertible into an aggregate of 8,177,715 shares of Common Stock of the Issuer. Mr. Hutchins may be deemed to indirectly beneficially own such securities because of the relationships described in Footnote (1) above, however he disclaims beneficial ownership of such securities, except to the extent of any pecuniary interest he may have therein. Karen M. King, Attorney-in-Fact 2008-12-10 -----END PRIVACY-ENHANCED MESSAGE-----