-----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, JNpmJ72BFqVwxy+Ke4HTtZqXQizq8ltLCSDxIl2LGeyY2zbwX9cIUTFyQtbhS2/C W6V/dr/EyQMYPH4ZHnj85w== 0000904454-09-000461.txt : 20090929 0000904454-09-000461.hdr.sgml : 20090929 20090929190818 ACCESSION NUMBER: 0000904454-09-000461 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090925 FILED AS OF DATE: 20090929 DATE AS OF CHANGE: 20090929 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: 091094072 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 2009-09-25 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 2009-09-25 4 C 0 8177715 14.50 A 9701040 I By Silver Lake Funds 3.75% Series A Convertible Notes Due 2012 14.50 2009-09-25 4 C 0 118576948.80 0 D Common Stock 8177715 0 I By Silver Lake Funds Mr. Hutchins also directly beneficially owns 12,603 shares of restricted Common Stock granted to him pursuant to The NASDAQ OMX Group, Inc. Equity Incentive Plan. Under Mr. Hutchins's arrangements with Silver Lake Technology Management, L.L.C. with respect to director compensation, these shares or proceeds therefrom are expected to be assigned to Silver Lake Technology Management, L.L.C. 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. The 3.75% Series A Convertible Notes Due 2012 were convertible on or after April 22, 2006 and had a maturity date of October 22, 2012. Mr. Hutchins disclaims beneficial ownership of such securities, except to the extent of any pecuniary interest he may have had therein. /s/ Karen M. King, by power of attorney 2009-09-29 -----END PRIVACY-ENHANCED MESSAGE-----