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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) | $ 21.31 | 06/30/2009 | A | 900,000 | (2) | 06/30/2019 | Common Stock | 900,000 | $ 0 | 900,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 5.28 | (3) | 04/15/2013 | Common Stock | 700,000 | 700,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 6.3 | (4) | 06/11/2013 | Common Stock | 1,000,000 | 1,000,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 35.92 | (5) | 12/13/2016 | Common Stock | 960,000 | 960,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREIFELD ROBERT ONE LIBERTY PLAZA NEW YORK, NY 10006 |
X | Chief Executive Officer |
/s/ Edward S. Knight, by power of attorney | 07/02/2009 | |
**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 (i) 300,000 shares of common stock acquired by Mr. Greifeld upon exercise of stock options, (ii) 100,000 shares of restricted stock granted under The NASDAQ OMX Group, Inc. Equity Incentive Plan (the "Equity Plan") on each of May 12, 2004 and 2005, and (iii) an additional 100,000 shares of restricted stock granted outside the Equity Plan on June 11, 2003, of which 90,617 shares have been withheld in payment of taxes relating to the vesting of shares of restricted stock. |
(2) | Options exercisable as to 450,000 shares on each of December 31, 2011 and December 31, 2012. |
(3) | Options exercisable as to 100%. |
(4) | Options exercisable as to 100%. |
(5) | Options exercisable as to 80,000 shares on December 13, 2007, 160,000 shares on December 13, 2008, 240,000 shares on December 13, 2009, 240,000 shares on December 13, 2010, 160,000 shares on December 13, 2011 and 80,000 shares on December 13, 2012. |