Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NASDAQ, INC.NDAQ · Entity 3019 | Executive Vice President | April 01, 2022 | April 05, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NASDAQ, INC.
Report date April 01, 2022 · Filed April 05, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 22,333 |
Reported balance
After 2022-04-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-04-01 · Tax withholding · Disposed 454 · Balance 22,333 F1: Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan. F2: Represents (i) 13,873 shares underlying PSUs, all of which are vested, (ii) 3,520 shares or units of restricted stock, of which 341 are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan.
F2: Represents (i) 13,873 shares underlying PSUs, all of which are vested, (ii) 3,520 shares or units of restricted stock, of which 341 are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 01, 2022 Filed Apr 5, 2022 20:18 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 454 | $181.92 | $82,591.68 |
DisclosureSEC source: 0001209191-22-022998 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,333 F1 · kind: Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan. F2 · balance_after: Represents (i) 13,873 shares underlying PSUs, all of which are vested, (ii) 3,520 shares or units of restricted stock, of which 341 are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| February 23, 2022 Filed Feb 25, 2022 21:21 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 11,936 | $168.19 | $2,007,515.84 |
DisclosureSEC source: 0001209191-22-013166 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,787 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 13,873 shares underlying PSUs, all of which are vested, (ii) 3,974 shares or units of restricted stock, of which none are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| February 23, 2022 Filed Feb 25, 2022 21:21 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 20,940 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-013166 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,723 F1 · kind: 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, 2019 through December 31, 2021. Read SEC document |
| August 24, 2021 Filed Aug 25, 2021 20:31 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 4,000 | $191.42 | $765,680.00 |
DisclosureSEC source: 0001209191-21-053315 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,783 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.42 to $191.46, 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 · balance_after: Represents (i) 4,869 shares underlying PSUs, all of which are vested, (ii) 3,974 shares or units of restricted stock, of which none are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| April 01, 2021 Filed Apr 5, 2021 21:12 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 1,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-025240 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,783 F1 · shares: Represents shares or units of restricted stock granted pursuant to Nasdaq's Equity Incentive Plan, which vest one-third on April 1, 2023, one-third on April 1, 2024 and one-third on April 1, 2025. F2 · balance_after: Represents (i) 8,869 shares underlying PSUs, all of which are vested, (ii) 3,974 shares or units of restricted stock, of which none are vested, and (iii) 4,940 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:03 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 8,568 | $140.34 | $1,202,433.12 |
DisclosureSEC source: 0001209191-21-014393 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,193 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 8,869 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. Read SEC document |
| February 23, 2021 Filed Feb 25, 2021 22:03 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 15,030 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-014393 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,761 F1 · kind: 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. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 22:01 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon stock, par value $0.01 per share | 442 | $142.71 | $63,077.82 |
DisclosureSEC source: 0001209191-21-009308 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,731 F3 · price: 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 · balance_after: 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. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 22:01 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon stock, par value $0.01 per share | 5,773 | $142.59 | $823,172.07 |
DisclosureSEC source: 0001209191-21-009308 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,173 F1 · price: 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 · balance_after: 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. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 21:22 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon stock, par value $0.01 per share | 3,500 | $119.82 | $419,370.00 |
DisclosureSEC source: 0001209191-20-036006 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,946 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.62 to $119.98, 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 · balance_after: Represents (i) 8,180 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. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 20:31 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon stock, par value $0.01 per share | 2,384 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023139 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,446 F1 · shares: Represents shares or units of restricted stock granted pursuant to Nasdaq's Equity Incentive Plan, which vest as to 33% on April 1, 2022, 33% on April 1, 2023 and 34% on April 1, 2024. F2 · balance_after: Represents (i) 11,680 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. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 23:48 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon stock, par value $0.01 per share | 5,868 | $112.41 | $659,621.88 |
DisclosureSEC source: 0001209191-20-013548 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,062 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 11,680 shares underlying PSUs, all of which are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| February 25, 2020 Filed Feb 27, 2020 23:48 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon stock, par value $0.01 per share | 10,294 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-013548 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,930 F1 · kind: 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, 2017 through December 31, 2019. Read SEC document |
| August 19, 2019 Filed Aug 21, 2019 20:08 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 4,861 | $99.14 | $481,919.54 |
DisclosureSEC source: 0001209191-19-046971 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,636 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.00 to $99.32, 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 · balance_after: Represents (i) 7,254 shares underlying performance share units, all of which are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 21:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 6,715 | $85.81 | $576,214.15 |
DisclosureSEC source: 0001209191-19-006162 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,497 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 12,115 shares underlying performance share units, all of which are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 21:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 11,576 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-006162 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,212 F1 · kind: 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, 2016 through December 31, 2018. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:38 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 6,451 | $80.75 | $520,918.25 |
DisclosureSEC source: 0001209191-18-007611 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,636 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.54 to $80.99, 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 · balance_after: Represents (i) 7,254 shares underlying performance share units, of which all are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 22:53 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 8,126 | $77.66 | $631,065.16 |
DisclosureSEC source: 0001209191-18-002159 · doc4.xml · nonDerivative · entry 3 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,087 F3 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F4 · balance_after: Represents (i) 13,705 shares underlying performance share units, of which all are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 22:53 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 14,009 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-002159 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,213 F2 · kind: 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, 2015 through December 31, 2017. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 22:53 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 785 | $76.74 | $60,240.90 |
DisclosureSEC source: 0001209191-18-002159 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,204 F1 · kind: Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan. Read SEC document |
| February 21, 2017 Filed Feb 23, 2017 21:13 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 4,067 | $71.52 | $290,871.84 |
DisclosureSEC source: 0001209191-17-013761 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,989 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.49 to $71.56, 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 · balance_after: Represents (i) 8,607 shares underlying performance share units, of which 7,254 are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:34 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 3,926 | $68.18 | $267,674.68 |
DisclosureSEC source: 0001209191-17-006717 · doc4.xml · nonDerivative · entry 2 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,056 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 12,674 shares underlying performance share units, of which 11,321 are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:34 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 6,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006717 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,982 F1 · kind: Represents the settlement of performance share units (PSUs) that were granted under the Nasdaq Equity Incentive Plan on March 31, 2014. 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, 2014 through December 31, 2016. On January 30, 2017, Nasdaq's Board of Directors approved the settlement of the PSU grant. The shares underlying the PSUs vested on December 31, 2016. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 22:01 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 1,696 | $66.68 | $113,089.28 |
DisclosureSEC source: 0001209191-17-001119 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,214 F1 · kind: Represents the surrender of shares to pay withholding taxes in connection with a vesting of equity previously granted under Nasdaq's Equity Incentive Plan. F2 · balance_after: Represents (i) 9,832 shares underlying performance share units, of which 8,479 are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| December 07, 2016 Filed Dec 9, 2016 21:25 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 7,000 | $67.19 | $470,330.00 |
DisclosureSEC source: 0001209191-16-154412 · doc4.xml · nonDerivative · entry 1 Ottersgard Lars · CIK 0001622630 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,910 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.00 to $67.28, 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 · balance_after: Represents (i) 11,528 shares underlying performance share units, of which 7,254 are vested and (ii) 5,382 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.