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NASDAQ OMX Group 8-K 2013

Documents found in this filing:

  1. 8-K
  2. 8-K





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 29, 2013 (May 22, 2013)



The NASDAQ OMX Group, Inc.

(Exact name of registrant as specified in its charter)




Delaware   000-32651   52-1165937

(State or other jurisdiction

of incorporation)



File Number)


(I.R.S. Employer

Identification No.)

One Liberty Plaza, New York, New York   10006
(Address of principal executive offices)   (Zip code)

Registrant’s telephone number, including area code: +1 212 401 8700

No change since last report

(Former Name or Former Address, if Changed Since Last Report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))




Item 5.07. Submission of Matters to a Vote of Security Holders.

At the annual meeting of stockholders of The NASDAQ OMX Group, Inc. (“NASDAQ OMX” or the “Company”) held on May 22, 2013, the stockholders elected each of NASDAQ OMX’s nominees for director to serve for terms of one year and until their successors are duly elected and qualified. The stockholders also ratified the appointment of Ernst & Young LLP as NASDAQ OMX’s independent registered public accounting firm for the fiscal year ending December 31, 2013 and approved the Company’s executive compensation on an advisory basis. Finally, the stockholders approved an amendment of NASDAQ OMX’s restated certificate of incorporation (the “Charter”) to remove and replace the supermajority voting requirements and an amendment and restatement of the Charter to make other non-substantive changes. The proposed changes to the Charter will not become effective until they are filed and effective with the U.S. Securities and Exchange Commission and the state of Delaware.

The table below shows the voting results, which exclude excess shares that were ineligible to vote as a result of the 5% voting limitation in the Charter.


          For      Against      Abstain      Broker Non-Votes  

Proposal I:

   Election of Directors            
   Steven D. Black      99,914,788         2,593,922         423,318         7,589,035   
   Börje E. Ekholm      98,941,659         3,567,062         423,307         7,589,035   
   Robert Greifeld      99,904,137         2,606,638         421,253         7,589,035   
   Glenn H. Hutchins      100,607,536         1,901,401         423,091         7,589,035   
   Essa Kazim      99,973,502         2,535,217         423,309         7,589,035   
   John D. Markese      99,890,461         2,231,549         810,018         7,589,035   
   Ellyn A. McColgan      100,022,811         2,486,225         422,992         7,589,035   
   Thomas F. O’Neill      99,814,394         2,693,595         424,039         7,589,035   
   James S. Riepe      100,610,715         1,898,375         422,938         7,589,035   
   Michael R. Splinter      100,678,051         1,830,638         423,339         7,589,035   
   Lars R. Wedenborn      100,673,395         1,834,392         424,241         7,589,035   

Proposal II:

   Ratify the Appointment of Ernst & Young LLP as NASDAQ OMX’s Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2013      109,667,045         438,666         415,352         N/A   

Proposal III:

   Approve the Company’s Executive Compensation on an Advisory Basis      98,745,224         3,138,198         1,048,606         7,589,035   

Proposal IV:

   Approve an Amendment of the Charter to Remove and Replace the Supermajority Voting Requirements      102,135,554         373,911         422,563         7,589,035   

Proposal V:

   Approve an Amendment and Restatement of the Charter to Make Other Non-Substantive Changes      102,366,176         142,357         423,495         7,589,035   


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Dated: May 29, 2013     The NASDAQ OMX Group, Inc.
    By:   /s/ EDWARD S. KNIGHT
      Edward S. Knight
      Executive Vice President and General Counsel
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