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