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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 13 | 09/12/2007 | M | 10,000 | (3) | 02/14/2011 | Common Stock | 10,000 | $ 0 | 13,600 | D | ||||
Employee Stock Option (Right to Buy) | $ 7.35 | (4) | 11/15/2014 | Common Stock | 200,000 | 200,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.5 | (5) | 07/29/2013 | Common Stock | 30,300 | 30,300 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 9.15 | (6) | 02/18/2014 | Common Stock | 100,000 | 100,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 13.38 | (7) | 07/24/2012 | Common Stock | 32,100 | 32,100 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 35.92 | (8) | 12/13/2016 | Common Stock | 32,558 | 32,558 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JACOBS JOHN ONE LIBERTY PLAZA NEW YORK, NY 10006 |
Executive Vice President |
/s/ Edward S. Knight, by power of attorney | 09/14/2007 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 20, 2007. |
(2) | Includes (i) 14,000 shares acquired upon the exercise of vested stock options, (ii) 17,620 shares of restricted stock granted under The Nasdaq Stock Market, Inc. Equity Incentive Plan, of which 6,750 shares are vested and (iii) 12,995 shares acquired under The Nasdaq 2000 Employee Stock Purchase Plan. |
(3) | Options exercisable as to 100%. |
(4) | Options exercisable as to 50% on January 15, 2008 and as to 50% on January 15, 2009. |
(5) | Options exercisable as to 100%. |
(6) | Options exercisable as to 100%. |
(7) | Options exercisable as to 100%. |
(8) | Options exercisable as to 50% on December 13, 2010, subject to accelerated vesting on December 13, 2009, or extension of vesting until December 13, 2011, depending on the achievement of performance goals to be determined by the Board of Directors. Options exercisable as to 50% on December 13, 2011, subject to accelerated vesting on December 13, 2010, or extension of vesting until December 13, 2012, depending on the achievement of performance goals to be determined by the Board of Directors. |