Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-014394
Date:2021-02-23
Issuer: NASDAQ, INC. (NDAQ)
Original Submission Date:

Reporting Person:

SIBBERN BJORN
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 2021-02-23 A 13,151 a $0.00 20,846 direct
COMMON STOCK, PAR VALUE $0.01 PER SHARE 2021-02-23 F 6,252 d $140.34 14,594 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 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, 2018 through december 31, 2020.
f2 represents the surrender of shares to pay withholding taxes in connection with the settlement of psus, as described above.
f3 represents (i) 1,951 shares or units of restricted stock, of which none are vested, (ii) 12,111 vested shares underlying psus and (iii) 532 shares purchased under the employee stock purchase plan.
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