Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NASDAQ, INC.NDAQ · Entity 3019 | EXECUTIVE VICE PRESIDENT | January 02, 2018 | January 04, 2018 |
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 January 02, 2018 · Filed January 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 17,891 |
Reported balance
After 2018-01-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-01-02 · Tax withholding · Disposed 1,451 · Balance 17,891 F1: Represents the surrender of shares to pay withholding taxes in connection with vestings of equity previously granted under Nasdaq's Equity Incentive Plan. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 23,248 |
Reported balance
After 2018-01-03 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2018-01-03 · Grant · Acquired 5,357 · Balance 23,248 F2: 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. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 21,196 |
Reported balance
After 2018-01-03 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2018-01-03 · Tax withholding · Disposed 2,052 · Balance 21,196 F3: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F4: Represents (i) 4,684 vested shares or units of restricted stock, (ii) 15,173 shares underlying PSUs, of which 10,659 shares are vested and (iii) 1,339 shares purchased under the Employee Stock Purchase Plan. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.28 · Expires 2021-03-28 | Direct | 2,833 |
Reported balance
Holding disclosure · report date 2018-01-02 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 2,833 F5: Options exercisable. |
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 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.
F3: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above.
F4: Represents (i) 4,684 vested shares or units of restricted stock, (ii) 15,173 shares underlying PSUs, of which 10,659 shares are vested and (iii) 1,339 shares purchased under the Employee Stock Purchase Plan.
F5: Options exercisable.
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 |
|---|---|---|---|---|---|---|
| January 03, 2018 Filed Jan 4, 2018 22:55 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 2,052 | $77.66 | $159,358.32 |
DisclosureSEC source: 0001209191-18-002165 · doc4.xml · nonDerivative · entry 3 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,196 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) 4,684 vested shares or units of restricted stock, (ii) 15,173 shares underlying PSUs, of which 10,659 shares are vested and (iii) 1,339 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 22:55 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 5,357 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-002165 · doc4.xml · nonDerivative · entry 2 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,248 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 22:55 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 1,451 | $76.74 | $111,349.74 |
DisclosureSEC source: 0001209191-18-002165 · doc4.xml · nonDerivative · entry 1 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,891 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 |
| July 25, 2017 Filed Jul 27, 2017 21:31 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 343 | $72.74 | $24,949.82 |
DisclosureSEC source: 0001209191-17-046465 · doc4.xml · nonDerivative · entry 1 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,342 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) 4,684 vested shares or units of restricted stock, (ii) 13,319 shares underlying PSUs, of which 4,874 shares are vested and (iii) 1,339 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 20:44 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 1,012 | $0.00 Strike: $20.04 | $0.00 |
DisclosureSEC source: 0001209191-17-021111 · doc4.xml · derivative · entry 3 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,012 shares Expires 2017-08-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Options exercisable. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 20:44 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 1,012 | $70.76 | $71,609.12 |
DisclosureSEC source: 0001209191-17-021111 · doc4.xml · nonDerivative · entry 2 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,311 F1 · balance_after: Represents (i) 5,027 shares or units of restricted stock, of which 4,095 are vested, (ii) 13,319 shares underlying PSUs, of which 4,874 shares are vested and (iii) 965 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 20:44 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionCommon Stock, par value $0.01 per share | 1,012 | $20.04 | $20,280.48 |
DisclosureSEC source: 0001209191-17-021111 · doc4.xml · nonDerivative · entry 1 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,323 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 1,390 | $68.18 | $94,770.20 |
DisclosureSEC source: 0001209191-17-006719 · doc4.xml · nonDerivative · entry 2 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,311 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) 5,027 shares or units of restricted stock, of which 4,095 are vested, (ii) 13,319 shares underlying PSUs, of which 4,874 shares are vested and (iii) 965 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 7,645 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006719 · doc4.xml · nonDerivative · entry 1 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,701 F1 · kind: Represents the settlement of performance share units (PSUs) that were granted under Nasdaq's 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. F2 · kind: Also represents the settlement of PSUs that were granted under Nasdaq's Equity Incentive Plan on March 31, 2016. The ultimate amount of shares to be received under the grant depended upon the achievement of performance goals during a one-year performance period from January 1, 2016 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 will vest as to one-third on December 31, 2017, one-third on December 31, 2018 and one-third on December 31, 2019. 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 | 1,547 | $66.68 | $103,153.96 |
DisclosureSEC source: 0001209191-17-001124 · doc4.xml · nonDerivative · entry 1 SWANSTROM STACIE · CIK 0001687574 · EXECUTIVE VICE PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,056 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) 5,027 shares or units of restricted stock, of which 4,095 are vested, (ii) 7,064 shares underlying PSUs, of which 2,572 shares are vested and (iii) 965 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.