Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-009308
Date:2021-02-08
Issuer: NASDAQ, INC. (NDAQ)
Original Submission Date:

Reporting Person:

OTTERSGARD LARS
151 W. 42ND STREET
NEW YORK, NY 10036

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-02-08 S 5,773 d $142.59 10,173 direct
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-02-08 S 442 d $142.71 9,731 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in this box is a weighted average price. these shares were sold in multiple transactions at prices ranging from $142.32 to $142.86, inclusive. the reporting person undertakes to provide to nasdaq, any security holder of nasdaq or the staff of the u.s. securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this form 4.
f2 represents (i) 2,407 shares underlying psus, all of which are vested, (ii) 2,384 shares or units of restricted stock, of which none are vested, and (iii) 5,382 shares purchased under the employee stock purchase plan.
f3 the price reported in this box is a weighted average price. these shares were sold in multiple transactions at prices ranging from $142.67 to $142.74, inclusive. the reporting person undertakes to provide to nasdaq, any security holder of nasdaq or the staff of the u.s. securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this form 4.
f4 represents (i) 2,407 shares underlying psus, all of which are vested, (ii) 2,384 shares or units of restricted stock, of which none are vested, and (iii) 4,940 shares purchased under the employee stock purchase plan.
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