-----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, U/RNs9UVFp3KsCvMTRjrpxYvY7eGN8bF6sGpWQ2zF7R/GFddFVAPFIXvsKPEkMr8 6mkG7iPQtrcmfP4w/QBptg== 0001181431-09-012241.txt : 20090227 0001181431-09-012241.hdr.sgml : 20090227 20090227182321 ACCESSION NUMBER: 0001181431-09-012241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090225 FILED AS OF DATE: 20090227 DATE AS OF CHANGE: 20090227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KNIGHT EDWARD S CENTRAL INDEX KEY: 0001240174 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 09644840 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 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 4 1 rrd235499.xml FORM 4 - EDWARD KNIGHT - 2/25/2009 X0303 4 2009-02-25 0 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001240174 KNIGHT EDWARD S ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01 per share 2009-02-25 4 A 0 10743 0 A 44180 D Employee Stock Option (Right to Buy) 7.35 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) 13 2011-02-14 Common Stock 7200 7200 D Employee Stock Option (Right to Buy) 25.07 2018-12-17 Common Stock 39458 39458 D Employee Stock Option (Right to Buy) 35.92 2016-12-13 Common Stock 28801 28801 D Employee Stock Option (Right to Buy) 45.38 2017-12-12 Common Stock 19555 19555 D Represents the settlement of performance share units (PSUs) that were granted under The NASDAQ OMX Group, Inc. Equity Incentive Plan on December 12, 2007. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a one-year performance period from January 1, 2008 through December 31, 2008. On February 25, 2009, the Management Compensation Committee of NASDAQ OMX's Board of Directors approved the settlement of the PSU grant. The shares underlying the PSUs will vest on December 31, 2011. Represents (i) 10,555 shares of common stock acquired upon exercise of vested stock options, (ii) 9,813 shares of restricted stock, of which 198 shares are vested (iii) 10,743 unvested shares underlying PSUs and (iv) 13,069 shares purchased pursuant to the Employee Stock Purchase Plan. Options vested as to 100%. Options vested as to 100%. Options vested as to 100%. Options exercisable on December 17, 2012, subject to accelerated vesting on December 17, 2011, or extension of vesting until December 17, 2013, depending on the achievement of performance goals. Options exercisable as to 50% on December 13, 2009 and as to 50% on December 13, 2010. Options exercisable on December 12, 2010. /s/ Edward S. Knight 2009-02-27 -----END PRIVACY-ENHANCED MESSAGE-----