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

Role
President and CEO, Director
Signature
/s/ Alex Kogan, by power of attorney
Stock symbol
NDAQ
Transactions as of
Dec 13, 2021
Transactions value $
$0
Form type
4
Date filed
12/15/2021, 03:58 PM
Next filing
Jan 5, 2022

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 -49K -12.01% $0.00 359K Dec 13, 2021 Direct F1
transaction NDAQ Common Stock, par value $0.01 per share Gift $0 +24.5K $0.00 24.5K Dec 13, 2021 Held by The A.T. Friedman Irrevocable Trust No. 1 F2
transaction NDAQ Common Stock, par value $0.01 per share Gift $0 +24.5K $0.00 24.5K Dec 13, 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) 269K Dec 13, 2021 Common Stock 269K $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.