-----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, Neod+1tKm6ZwqxSG61mPsc1gT4jZL+IKTX2XysSItpL8RHFJXHWUBtGpTvIn469C M/NRs4e4i3CdwfxHtFpnoQ== 0001104659-04-036627.txt : 20041117 0001104659-04-036627.hdr.sgml : 20041117 20041117172938 ACCESSION NUMBER: 0001104659-04-036627 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041115 FILED AS OF DATE: 20041117 DATE AS OF CHANGE: 20041117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JACOBS JOHN CENTRAL INDEX KEY: 0001240163 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 041153067 BUSINESS ADDRESS: BUSINESS PHONE: 2029123000 MAIL ADDRESS: STREET 1: 1801 K STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20006 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 a4.xml 4 X0202 4 2004-11-15 0 0001120193 NASDAQ STOCK MARKET INC NDAQ 0001240163 JACOBS JOHN ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01 per share ('Common Stock') 15771 D Employee Stock Option (Right to Buy) 7.35 2004-11-15 4 A 0 200000 0 A 2014-11-15 Common Stock 200000 200000 D Employee Stock Option (Right to Buy) 9.15 2014-02-18 Common Stock 100000 100000 D Employee Stock Option (Right to Buy) 8.50 2013-07-29 Common Stock 30300 30300 D Employee Stock Option (Right to Buy) 13.38 2012-07-24 Common Stock 32100 32100 D Employee Stock Option (Right to Buy) 13.00 2011-02-14 Common Stock 37600 37600 D Represents 6,750 shares of restricted stock granted under The Nasdaq Stock Market, Inc. Equity Incentive Plan, of which 4,050 shares are vested, and 9,021 shares acquired under The Nasdaq 2000 Employee Stock Purchase Plan. 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 33% on each of July 29, 2004 and 2005 and as to 34% on July 29, 2006. Option exercisable as to 33% on each of July 24, 2003 and 2004 and as to 34% on July 24, 2005. Option exercisable as to 12,408 on December 31, 2001, an additional 6,392 on August 14, 2002, an additional 6,016 on February 14, 2003, an additional 6,392 on each of August 14, 2003 and February 14, 2004. Edward S. Knight, by power of attorney 2004-11-15 -----END PRIVACY-ENHANCED MESSAGE-----