0001181431-13-049525.txt : 20130917 0001181431-13-049525.hdr.sgml : 20130917 20130917174724 ACCESSION NUMBER: 0001181431-13-049525 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130913 FILED AS OF DATE: 20130917 DATE AS OF CHANGE: 20130917 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: AUST BRUCE CENTRAL INDEX KEY: 0001254646 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 131102237 MAIL ADDRESS: STREET 1: 1801 K STREET NW CITY: WASHINGTON STATE: DC ZIP: 20006 4 1 rrd390683.xml FORM 4 - BRUCE AUST - 09/13/2013 X0306 4 2013-09-13 0 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001254646 AUST BRUCE ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01 per share 2013-09-13 4 M 0 7500 9.15 A 122251 D Common Stock, par value $0.01 per share 2013-09-13 4 S 0 7500 31.23 D 114751 D Employee Stock Option (Right to Buy) 9.15 2013-09-13 4 M 0 7500 0 D 2014-02-18 Common Stock 7500 22500 D Employee Stock Option (Right to Buy) 7.35 2014-11-15 Common Stock 120000 120000 D Employee Stock Option (Right to Buy) 19.75 2020-03-04 Common Stock 25210 25210 D Employee Stock Option (Right to Buy) 25.07 2018-12-17 Common Stock 45528 45528 D Employee Stock Option (Right to Buy) 25.28 2021-03-28 Common Stock 25496 25496 D Employee Stock Option (Right to Buy) 35.92 2016-12-13 Common Stock 32558 32558 D Employee Stock Option (Right to Buy) 45.38 2017-12-12 Common Stock 22564 22564 D The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2012. The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.20 to $31.28, inclusive. The reporting person undertakes to provide to The NASDAQ OMX Group, Inc., any security holder of The NASDAQ OMX Group, Inc. or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. Represents (i) 32,274 vested shares of restricted stock, (ii) 76,290 shares underlying PSUs, of which 37,006 shares are vested and (iii) 6,187 shares purchased under the Employee Stock Purchase Plan. Options exercisable. Options exercisable. Options exercisable on March 4, 2014. Options exercisable. Options exercisable on March 28, 2014. Options exercisable. Options exercisable. /s/ Edward S. Knight, by power of attorney 2013-09-17