-----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, C+/nUYz76a89tqDuNj86EU5x+n71M3V1syo3W1+3knTcFMRT8wfchiQyqmL+UuCt zFJ0XpylrvoojbUW4wwhOA== 0001104659-04-036615.txt : 20041117 0001104659-04-036615.hdr.sgml : 20041117 20041117172006 ACCESSION NUMBER: 0001104659-04-036615 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041115 FILED AS OF DATE: 20041117 DATE AS OF CHANGE: 20041117 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARREN DAVID P CENTRAL INDEX KEY: 0001240731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 041152960 BUSINESS ADDRESS: STREET 1: 1801 K STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2029123000 MAIL ADDRESS: STREET 1: 1801K STREET NW CITY: WASHINGTON STATE: DC ZIP: 200036 4 1 a4.xml 4 X0202 4 2004-11-15 0 0001120193 NASDAQ STOCK MARKET INC NDAQ 0001240731 WARREN DAVID P ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01per share ("Common Stock") 13577 D Employee Stock Option (Right to Buy) 7.35 2004-11-15 4 A 0 150000 0 A 2014-11-15 Common Stock 150000 150000 D Employee Stock Option (Right to Buy) 9.15 2014-02-18 Common Stock 75000 75000 D Employee Stock Option (Right to Buy) 10.25 2011-10-04 Common Stock 44300 44300 D Employee Stock Option (Right to Buy) 13.00 2011-02-14 Common Stock 69700 69700 D Represents shares of restricted stock granted under The Nasdaq Stock Market, Inc. Equity Incentive Plan, of which 7,217 shares have vested. Options exercisable as to 50% on January 15, 2009 ("tranche 1"), subject to accelerated vesting of the entire tranche 1 on January 15, 2008, or in the alternative, extension of vesting of the entire tranche 1 until January 15, 2010, depending on whether applicable performance goals to be determined by the Board of Directors are met. Options exercisable as to 50% on January 15, 2010 ("tranche 2"), subject to accelerated vesting of the entire tranche 2 on January 15, 2009, or in the alternative, extension of vesting of the entire tranche 2 until January 15, 2011, depending on whether applicable performance goals to be determined by the Board of Directors are met. Option exercisable as to 100% on February 18, 2009, subject to accelerated vesting of 100% of the option on either the third or fourth anniversary of the grant date if applicable performance goals are achieved. Option exercisable as to 14,619 shares on December 31, 2001, as to an additional 7,531 shares on August 14, 2002, as to an additional 7,088 shares on February 14, 2003 and as to an additional 7,531 shares on each of August 14, 2003 and February 14, 2004. Option exercisable as to 23,001 shares on December 31, 2001, as to an additional 11,849 shares on August 14, 2002, as to an additional 11,152 shares on February 14, 2003 and as to an additional 11,849 shares on each of August 14, 2003 and February 14, 2004. Edward S. Knight, by power of attorney 2004-11-17 -----END PRIVACY-ENHANCED MESSAGE-----