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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 | (4) | 11/15/2014 | Common Stock | 47,620 | 47,620 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.5 | (5) | 07/29/2013 | Common Stock | 25,000 | 25,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 9.15 | (6) | 02/18/2014 | Common Stock | 25,000 | 25,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 19.75 | (7) | 03/04/2020 | Common Stock | 13,787 | 13,787 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 20.04 | (8) | 08/03/2017 | Common Stock | 12,707 | 12,707 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 25.07 | (9) | 12/17/2018 | Common Stock | 15,176 | 15,176 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 25.28 | (10) | 03/28/2021 | Common Stock | 14,165 | 14,165 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HASSEN RONALD ONE LIBERTY PLAZA NEW YORK, NY 10006 |
Senior 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) | Restricted stock vests upon the first to occur of (i) February 22, 2015, provided that Mr. Hassen remains employed by NASDAQ OMX in the position of Controller, or (ii) such earlier date as of which NASDAQ OMX's Chief Financial Officer certifies that Mr. Hassen has served at least 24 months from the date of the award in the position of Controller and has successfully transitioned his replacement as Controller. |
(3) | Represents (i) 105,572 shares or units of restricted stock, of which 5,572 are vested, (ii) 18,123 shares underlying PSUs, of which 1,147 shares are vested and (iii) 3,181 shares purchased under the Employee Stock Purchase Plan. |
(4) | Options vested as to 100%. |
(5) | Options vested as to 100%. |
(6) | Options vested as to 100%. |
(7) | Options exercisable on March 4, 2014. |
(8) | Options vested as to one-third. Options exercisable as to one-third on August 3, 2012 and one-third on August 3, 2013. |
(9) | Options exercisable on December 17, 2012. |
(10) | Options exercisable on March 28, 2014. |