8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported): May 13, 2014 (May 7, 2014)

 

 

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)

  

(Commission

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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(c) Appointment of Certain Officers

On May 7, 2014, the board of directors of The NASDAQ OMX Group, Inc. (“NASDAQ OMX” or the “Company”) appointed Hans-Ole Jochumsen to the position of President, Global Trading and Market Services, effective immediately.

Mr. Jochumsen, age 56, previously served as Executive Vice President of Global Market Services since March 2014. He served as Executive Vice President of Transaction Services Nordic from February 2008 through March 2014. Previously, Mr. Jochumsen was the President of Information Services & New Markets for OMX. Prior to that, he served as President and CEO of the Copenhagen Stock Exchange (now called NASDAQ OMX Copenhagen A/S) and FUTOP Clearingcentralen Ltd. Prior to joining OMX in 1998, Mr. Jochumsen served as President and member of the Executive Management of BG Bank from 1996 to 1998 and as President and member of the Executive Management of Girobank from 1994 to 1996. From 1990 to 1994, he was a President and member of the Executive Management of BRFkredit.

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

At NASDAQ OMX’s annual meeting of stockholders held on May 7, 2014, 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, 2014 and approved the Company’s executive compensation on an advisory basis. Finally, the stockholders approved the NASDAQ OMX Equity Incentive Plan, as amended and restated, as well as an amendment of NASDAQ OMX’s Amended and Restated Certificate of Incorporation (the “Charter”) to conform a provision to an analogous provision in NASDAQ OMX’s By-Laws. 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            
   Charlene T. Begley      110,782,722         43,866         164,967         9,219,389   
   Steven D. Black      110,651,329         178,122         162,104         9,219,389   
   Börje E. Ekholm      108,483,269         2,352,443         155,843         9,219,389   
   Robert Greifeld      110,248,443         591,949         151,163         9,219,389   
   Glenn H. Hutchins      110,340,553         489,002         162,000         9,219,389   
   Essa Kazim      110,232,084         607,606         151,865         9,219,389   
   John D. Markese      110,121,241         703,046         167,268         9,219,389   
   Ellyn A. McColgan      110,733,676         96,102         161,777         9,219,389   
   Thomas F. O’Neill      109,178,370         1,651,014         162,171         9,219,389   
   Michael R. Splinter      110,348,645         480,718         162,192         9,219,389   
   Lars R. Wedenborn      110,770,178         56,150         165,227         9,219,389   

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, 2014      119,068,184         989,505         153,255         N/A   

Proposal III:

    Approve the Company’s Executive Compensation on an Advisory Basis      109,094,021         1,707,328         190,206         9,219,389   

Proposal IV:

    Approve the NASDAQ OMX Equity Incentive Plan, as Amended and Restated      105,907,900         4,899,082         184,573         9,219,389   

Proposal V:

    Approve an Amendment of NASDAQ OMX’s Charter to Conform a Provision to an Analogous Provision in NASDAQ OMX’s By-Laws      119,833,536         175,128         202,280         9,219,389   

SIGNATURES

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 13, 2014      The NASDAQ OMX Group, Inc.
       By:    

/S/  EDWARD S. KNIGHT

          Edward S. Knight
          Executive Vice President and General Counsel