FRIEDMAN ADENA T. - 13 Dec 2021 Form 4 Insider Report for NASDAQ, INC. (NDAQ)

Role
President and CEO, Director
Signature
/s/ Alex Kogan, by power of attorney
Issuer symbol
NDAQ
Transactions as of
13 Dec 2021
Net transactions value
$0
Form type
4
Filing time
15 Dec 2021, 15:58:11 UTC
Next filing
05 Jan 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NDAQ Common Stock, par value $0.01 per share Gift $0 -49,000 -12% $0.000000 359,079 13 Dec 2021 Direct F1
transaction NDAQ Common Stock, par value $0.01 per share Gift $0 +24,500 $0.000000 24,500 13 Dec 2021 Held by The A.T. Friedman Irrevocable Trust No. 1 F2
transaction NDAQ Common Stock, par value $0.01 per share Gift $0 +24,500 $0.000000 24,500 13 Dec 2021 Held by The A.T. Friedman Irrevocable Trust No. 2 F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NDAQ Employee Stock Option (Right to Buy) 268,817 13 Dec 2021 Common Stock 268,817 $66.68 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 Options exercisable.