0001181431-14-026423.txt : 20140708 0001181431-14-026423.hdr.sgml : 20140708 20140708162020 ACCESSION NUMBER: 0001181431-14-026423 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140703 FILED AS OF DATE: 20140708 DATE AS OF CHANGE: 20140708 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: Ewing Anna M CENTRAL INDEX KEY: 0001347221 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-32651 FILM NUMBER: 14965632 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA CITY: NEW YORK STATE: NY ZIP: 10006 4 1 rrd412959.xml FORM 4 - ANNA M. EWING - 07/03/2014 X0306 4 2014-07-03 0 0001120193 NASDAQ OMX GROUP, INC. NDAQ 0001347221 Ewing Anna M ONE LIBERTY PLAZA NEW YORK NY 10006 0 1 0 0 Executive Vice President Common Stock, par value $0.01 per share 2014-07-03 4 M 0 34664 19.75 A 145238 D Common Stock, par value $0.01 per share 2014-07-03 4 S 0 34664 39.75 D 110574 D Common Stock, par value $0.01 per share 2014-07-03 4 S 0 100 40.00 D 110474 D Employee Stock Option (Right to Buy) 19.75 2014-07-03 4 M 0 34664 0 D 2020-03-04 Common Stock 34664 0 D Employee Stock Option (Right to Buy) 25.28 2021-03-28 Common Stock 39661 39661 D Employee Stock Option (Right to Buy) 45.38 2017-12-12 Common Stock 22564 22564 D The exercise and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 27, 2014. Represents (i) 42,283 vested shares of restricted stock, (ii) 50,440 shares underlying PSUs, of which 28,288 shares are vested and (iii) 17,751 shares purchased under the Employee Stock Purchase Plan. Options exercisable. /s/ Edward S. Knight, by power of attorney 2014-07-08