-----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, CulB8v+2BmxUPqEiNT2b1spkxk43/pfY/tWzXL4l02irLIOsuUAWD0mA35qQBF4L 9+rmJfGCyeuQOHqYUXOtUQ== 0000947871-03-002238.txt : 20031006 0000947871-03-002238.hdr.sgml : 20031006 20031006170136 ACCESSION NUMBER: 0000947871-03-002238 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030507 FILED AS OF DATE: 20031006 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NATIONAL ASSOCIATION OF SECURITIES DEALERS INC CENTRAL INDEX KEY: 0001135289 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 03930107 BUSINESS ADDRESS: STREET 1: 1735 K STREET STREET 2: NW CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 202-728-8000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ STOCK MARKET 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: 2128584750 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 4 1 form4_100203ex.xml X0201 4 2003-05-07 0 0001120193 NASDAQ STOCK MARKET INC NDAQ.QB 0001135289 NATIONAL ASSOCIATION OF SECURITIES DEALERS INC 1735 K. STREET N.W. WASHINGTON, DC 20006 0 0 1 0 Common Stock, par value $0.01 per share 2003-05-07 4 S 0 1500 13 D 43203646 D Common Stock, par value $0.01 per share 2003-06-03 4 S 0 6600 13 D 43197046 D Common Stock, par value $0.01 per share 2003-06-10 4 S 0 300 13 D 43196746 D Common Stock, par value $0.01 per share 2003-06-13 4 S 0 1800 13 D 43194946 D Common Stock, par value $0.01 per share 2003-06-19 4 S 0 1650 13 D 43193296 D Common Stock, par value $0.01 per share 2003-06-25 4 S 0 1050 13 D 43192246 D Common Stock, par value $0.01 per share 2003-06-26 4 S 0 1500 13 D 43190746 D Common Stock, par value $0.01 per share 2003-06-27 4 S 0 300 13 D 43190446 D Common Stock, par value $0.01 per share 2003-07-02 2003-06-27 4 S 0 300 13 D 43190146 D As of the date of this filing, the National Association of Securities Dealers, Inc.("NASD") has issued and outstanding 10,806,494 warrants ("Warrants"),each exercisable for one share of The Nasdaq Stock Market,Inc.'s ("Nasdaq") common stock,par value $0.01per share (the "Common Stock"),held by NASD in each of four approximately one-year consecutive exercise periods (the first of which expired at the close of business on June 27,2003).This Form 4 reflects the exercise of 15,000 Warrants for a total of 15,000 shares of Common Stock. Until Nasdaq is registered as an exchange ("Exchange Registration"),the shares of Common Stock underlying the Warrants are subject to a voting trust agreement (the "Voting Trust") whereby a voting trustee will vote all shares of Common Stock underlying unexpired and unexercised Warrants,as well as those shares sold upon the exercise of Warrants,as directed by NASD. Therefore,while NASD no longer has an economic interest in the shares of Common Stock sold upon the exercise of Warrants,it retains the voting rights of such shares until Exchange Registration. As of the date of this filing,NASD owns 32,419,482 shares of Common Stock subject to the Voting Trust and 10,770,664 shares of Common Stock that are not subject to the Voting Trust. /s/ T. Grant Callery, Executive Vice President and General Counsel 2003-10-06 -----END PRIVACY-ENHANCED MESSAGE-----