Statement of Changes in Beneficial Ownership (4)
24 Febbraio 2023 - 10:23PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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
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1. Name
and Address of Reporting Person * Peterson Bradley
J |
2. Issuer Name and Ticker or Trading
Symbol NASDAQ, INC. [ NDAQ ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Executive Vice President |
(Last)
(First)
(Middle)
151 W. 42ND STREET |
3. Date of Earliest Transaction (MM/DD/YYYY)
2/22/2023
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(Street)
NEW YORK, NY 10036
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 |
2/22/2023 |
|
A(1) |
|
93636 |
A |
$0.00 |
215805 |
D |
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Common Stock, par value
$0.01 |
2/22/2023 |
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F(2) |
|
41816 |
D |
$57.10 |
173989 (3) |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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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 |
Explanation of
Responses: |
(1) |
Represents the settlement of
performance share units (PSUs) that were previously granted under
Nasdaq's Equity Incentive Plan. The ultimate amount of shares to be
received under the grant depended upon the achievement of
performance goals during a three-year performance period from
January 1, 2020 through December 31, 2022. |
(2) |
Represents the surrender of
shares to pay withholding taxes in connection with the settlement
of PSUs, as described above. |
(3) |
Represents (i) 107,109
shares or units of restricted stock, of which 17,673 are vested,
(ii) 62,947 shares underlying PSUs, all of which are vested and
(iii) 3,933 shares purchased under the Employee Stock Purchase
Plan. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Peterson Bradley J
151 W. 42ND STREET
NEW YORK, NY 10036 |
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Executive Vice President |
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Signatures
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/s/ Alex Kogan, by power of
attorney |
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2/24/2023 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
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). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
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. |
Grafico Azioni Nasdaq (NASDAQ:NDAQ)
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Da Mag 2023 a Giu 2023
Grafico Azioni Nasdaq (NASDAQ:NDAQ)
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