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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 7.35 | (3) | 11/15/2014 | Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 9.15 | (4) | 02/18/2014 | Common Stock | 90,000 | 90,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 19.75 | (5) | 03/04/2020 | Common Stock | 25,210 | 25,210 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 25.07 | (6) | 12/17/2018 | Common Stock | 45,528 | 45,528 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 25.28 | (7) | 03/28/2021 | Common Stock | 25,496 | 25,496 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 35.92 | (8) | 12/13/2016 | Common Stock | 32,558 | 32,558 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 45.38 | (9) | 12/12/2017 | Common Stock | 22,564 | 22,564 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AUST BRUCE ONE LIBERTY PLAZA NEW YORK, NY 10006 |
Executive Vice President |
/s/ Edward S. Knight, by power of attorney | 02/24/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the settlement of performance share units (PSUs) that were granted under The NASDAQ OMX Group, Inc. Equity Incentive Plan on March 28, 2011. 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, 2011 through December 31, 2011. On February 22, 2012, 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 as to one-third on December 31, 2012, one-third on December 31, 2013 and one-third on December 31, 2014. |
(2) | Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 49,852 shares or units of restricted stock, of which 14,852 are vested, (iii) 98,010 shares underlying PSUs, of which 11,545 shares are vested and (iv) 5,185 shares purchased under the Employee Stock Purchase Plan. |
(3) | Options exercisable. |
(4) | Options exercisable. |
(5) | Options exercisable on March 4, 2014. |
(6) | Options exercisable on December 17, 2012. |
(7) | Options exercisable on March 28, 2014. |
(8) | Options exercisable. |
(9) | Options exercisable. |