0001209191-17-046913.txt : 20170801 0001209191-17-046913.hdr.sgml : 20170801 20170801162255 ACCESSION NUMBER: 0001209191-17-046913 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170728 FILED AS OF DATE: 20170801 DATE AS OF CHANGE: 20170801 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: 17996999 MAIL ADDRESS: STREET 1: 1801 K STREET, N.W. CITY: WASHINGTON STATE: DC ZIP: 20006 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ, 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 OMX GROUP, INC. DATE OF NAME CHANGE: 20080227 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ STOCK MARKET INC DATE OF NAME CHANGE: 20010423 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-28 0 0001120193 NASDAQ, 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 2017-05-17 5 G 0 E 7463 0.00 D 78063 D Common Stock, par value $0.01 per share 2017-07-28 4 S 0 15000 74.39 D 63437 D Employee Stock Option (Right to Buy) 19.75 2020-03-04 Common Stock 22059 22059 D Employee Stock Option (Right to Buy) 25.07 2018-12-17 Common Stock 39458 39458 D Employee Stock Option (Right to Buy) 25.28 2021-03-28 Common Stock 25496 25496 D The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.25 to $74.53, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq 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 (1) to this Form 4. Represents (i) 62,620 vested shares underlying performance share units and (ii) 817 shares purchased under the Employee Stock Purchase Plan. Options exercisable as to 100%. /s/ Edward S. Knight 2017-08-01