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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden
hours per response...
0.5
                      
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(f) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Ewing Anna M
2. Issuer Name and Ticker or Trading Symbol

NASDAQ OMX GROUP, 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)

ONE LIBERTY PLAZA
3. Date of Earliest Transaction (MM/DD/YYYY)

1/3/2012
(Street)

NEW YORK, NY 10006
(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   1/3/2012     F    10050   D $24.96   275929   (1) D    

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)   $7.35                      (2) 11/15/2014   Common Stock   30063     30063   D    
Employee Stock Option (Right to Buy)   $19.75                      (3) 3/4/2020   Common Stock   34664     34664   D    
Employee Stock Option (Right to Buy)   $25.07                      (4) 12/17/2018   Common Stock   45528     45528   D    
Employee Stock Option (Right to Buy)   $25.28                      (5) 3/28/2021   Common Stock   39661     39661   D    
Employee Stock Option (Right to Buy)   $35.92                      (6) 12/13/2016   Common Stock   32558     32558   D    
Employee Stock Option (Right to Buy)   $45.38                      (7) 12/12/2017   Common Stock   22564     22564   D    

Explanation of Responses:
( 1)  Represents (i) 7,000 shares of common stock acquired upon exercise of vested stock options, (ii) 183,935 shares or units of restricted stock, of which 78,935 shares are vested, (iii) 69,041 shares underlying PSUs, of which 17,198 shares are vested and (iii) 15,953 shares purchased under the Employee Stock Purchase Plan.
( 2)  Options exercisable.
( 3)  Options exercisable on March 4, 2014.
( 4)  Options exercisable on December 17, 2012.
( 5)  Options exercisable on March 28, 2015, subject to accelerated vesting on March 28, 2014, or extension of vesting until March 28, 2016, depending on the achievement of performance goals.
( 6)  Options exercisable.
( 7)  Options exercisable.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Ewing Anna M
ONE LIBERTY PLAZA
NEW YORK, NY 10006


Executive Vice President

Signatures
/s/ Edward S. Knight, by power of attorney 1/5/2012
** 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.
Nasdaq (NASDAQ:NDAQ)
Historical Stock Chart
From Oct 2024 to Nov 2024 Click Here for more Nasdaq Charts.
Nasdaq (NASDAQ:NDAQ)
Historical Stock Chart
From Nov 2023 to Nov 2024 Click Here for more Nasdaq Charts.