Statement of Changes in Beneficial Ownership (4)
05 Gennaio 2022 - 10:41PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
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APPROVAL
OMB Number: 3235-0287
Estimated average burden
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
| 1. Name
and Address of Reporting Person * FRIEDMAN ADENA T |
2. Issuer Name and Ticker or Trading
Symbol NASDAQ, INC. [ NDAQ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President and CEO |
|
(Last)
(First)
(Middle)
151 W. 42ND STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/3/2022
|
|
(Street)
NEW YORK, NY 10036
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock, par value $0.01 per
share |
|
|
|
|
|
|
|
359079 (1) |
D |
|
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Common Stock, par value $0.01 per
share |
|
|
|
|
|
|
|
24500 |
I |
Held by The A.T. Friedman Irrevocable Trust No.
1 (2) |
|
Common Stock, par value $0.01 per
share |
|
|
|
|
|
|
|
24500 |
I |
Held by The A.T. Friedman Irrevocable Trust No.
2 (2) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. 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 |
7. Title and Amount of Securities Underlying
Derivative Security
(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) |
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Employee Stock Option (Right to
Buy) |
$202.46 |
1/3/2022 |
|
A |
|
102312 |
|
(3) |
1/3/2032 |
Common Stock |
102312 |
$0.00 |
102312 |
D |
|
|
Employee Stock Option (Right to
Buy) |
$66.68 |
|
|
|
|
|
|
(4) |
1/3/2027 |
Common Stock |
268817 |
|
268817 |
D |
|
| Explanation of
Responses: |
| (1) |
Represents (i) 114,349
shares or units of restricted stock, of which 81,584 are vested,
(ii) 210,279 vested shares underlying PSUs and (iii) 34,451 shares
granted under Nasdaq's Equity Incentive Plan or acquired under
Nasdaq's Employee Stock Purchase Plan when Ms. Friedman was
previously an employee of Nasdaq prior to returning as President in
2014. |
| (2) |
Reflects shares gifted for
estate planning purposes to a family trust for the benefit of the
reporting person's child, of which the reporting person's spouse is
the trustee and the reporting person's brother is the investment
advisor. |
| (3) |
The option vests on January
3, 2027. |
| (4) |
Options
exercisable. |
Reporting
Owners
|
|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
FRIEDMAN ADENA T
151 W. 42ND STREET
NEW YORK, NY 10036 |
X |
|
President and CEO |
|
Signatures
|
|
/s/ Alex Kogan, by power of
attorney |
|
1/5/2022 |
| **Signature of Reporting
Person |
Date |
Grafico Azioni Nasdaq (NASDAQ:NDAQ)
Storico
Da Apr 2022 a Mag 2022
Grafico Azioni Nasdaq (NASDAQ:NDAQ)
Storico
Da Mag 2021 a Mag 2022
