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NDAQ » Topics » Please refer to our most recent Form 10-K to read about the material risks we face.

This excerpt taken from the NDAQ 10-Q filed Nov 9, 2007.

Please refer to our most recent Form 10-K to read about the material risks we face.

 

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds

Repurchases made in the fiscal quarter ended September 30, 2007 (in whole number of shares):

 

Period

    (a) Total Number of
Shares (or Units)
Purchased		    (b) Average Price Paid
per Share (or Units)		    (c) Total Number of
Shares (or Units)
Purchased as Part
of Publicly Announced
Plans or Programs		    (d) Maximum Number
(or Approximate Dollar
Value) of Shares (or
Units) that May Yet Be
Purchased Under the
Plans or Programs

July 2007

    1,522    $ 32.34    —      —  

August 2007

    —        —      —      —  

September 2007

    —        —      —      —  
                     

Total

    1,522      —      —      —  
                     

The shares repurchased during July 2007 were acquired from employees in connection with the settlement of income tax and related benefit withholding obligations arising from vesting in restricted stock grants.

 

Item 3. Defaults upon Senior Securities

None

 

Item 4. Submission of Matters to a Vote of Security Holders

None

 

Item 5. Other Information

None

 

Item 6. Exhibits

The exhibits required by this item are listed on the Exhibit Index.

 

48

Table of Contents
This excerpt taken from the NDAQ 10-Q filed Aug 1, 2007.

Please refer to our most recent Form 10-K to read about the material risks we face.

 

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds

Repurchases made in the fiscal quarter ended June 30, 2007 (in whole number of shares):

 

Period

    (a) Total Number of
Shares (or Units)
Purchased		    (b) Average Price Paid
per Share (or Units)		    (c) Total Number of
Shares (or Units)
Purchased as Part of
Publicly Announced
Plans or Programs		    (d) Maximum Number
(or Approximate Dollar
Value) of Shares (or
Units) that May Yet Be
Purchased Under the
Plans or Programs

April 2007

    —        —      —      —  

May 2007

    31,055    $ 31.80    —      —  

June 2007

    —        —      —      —  
                     

Total

    31,055      —      —      —  
                     

The shares repurchased during May 2007 were acquired from employees in connection with the settlement of income tax and related benefit withholding obligations arising from vesting in restricted stock grants.

 

Item 3. Defaults upon Senior Securities

None

 

Item 4. Submission of Matters to a Vote of Security Holders

At our annual meeting of stockholders on May 23, 2007, the following matters set forth in our Proxy Statement dated April 20, 2007, which was filed with the SEC pursuant to Regulation 14A under the Securities Exchange Act of 1934, as amended, were voted upon with the results indicated below.

 

  1. The nominees listed below were elected directors for one-year terms with the respective votes set forth opposite their names.

 

   

For

  

Withheld

H. Furlong Baldwin

   91,937,162   1,780,548

Michael Casey

   91,470,695   2,247,015

Daniel Coleman

   92,003,639   1,714,071

Lon Gorman

   91,992,033   1,725,677

Robert Greifeld

   91,971,501   1,746,209

Patrick J. Healy

   91,966,881   1,750,829

Glenn H. Hutchins

   91,429,347   2,288,363

Merit E. Janow

   92,008,373   1,709,337

John D. Markese

   92,001,292   1,716,418

Thomas F. O’Neill

   91,964,203   1,753,507

James S. Riepe

   92,003,664   1,714,046

Thomas G. Stemberg

   91,986,931   1,730,779

Deborah L. Wince-Smith

   91,989,029   1,728,681

 

35

Table of Contents
  2. A proposal seeking ratification of the appointment of Ernst & Young LLP as Nasdaq’s independent registered public accounting firm for the fiscal year ending December 31, 2007, was approved, with 92,260,445 votes cast for, 830,215 votes cast against, and 627,050 abstentions.

 

  3. A proposal seeking approval of Nasdaq’s amended and restated equity incentive plan to, among other things, allow grants of performance compensation awards, was approved, with 49,193,521 votes cast for, 20,805,500 votes cast against, 138,428 abstentions and 23,580,261 broker non-votes.

 

Item 5. Other Information

The information set forth under “Financing the Offer” in Part I, Item 1, Note 14 is incorporated herein by reference.

 

Item 6. Exhibits

The exhibits required by this item are listed on the Exhibit Index.

 

36

Table of Contents
This excerpt taken from the NDAQ 10-Q filed May 9, 2007.

Please refer to our most recent Form 10-K to read about the material risks we face.

 

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds

None

 

Item 3. Defaults upon Senior Securities

None

 

Item 4. Submission of Matters to a Vote of Security Holders

None

 

Item 5. Other Information

None

 

Item 6. Exhibits

The exhibits required by this item are listed on the Exhibit Index.

 

32

Table of Contents

EXCERPTS ON THIS PAGE:

10-Q
Nov 9, 2007
10-Q
Aug 1, 2007
10-Q
May 9, 2007

RELATED TOPICS for NDAQ:

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