Nasdaq, Inc.
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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 21, 2020 (May 19, 2020)

 

Nasdaq, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-38855

 

52-1165937

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

151 W. 42nd Street,

New York, New York

 

10036

(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))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

 

Trading

Symbol(s)

 

Name of each exchange

on which registered

Common Stock, $0.01 par value per share

 

NDAQ

 

The Nasdaq Stock Market

0.875% Senior Notes due 2030

 

NDAQ30

 

The Nasdaq Stock Market

1.75% Senior Notes due 2029

 

NDAQ29

 

The Nasdaq Stock Market

1.75% Senior Notes due 2023

 

NDAQ23

 

The Nasdaq Stock Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  

 

 


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

At the Annual Meeting of shareholders of Nasdaq, Inc. (the “Company”) held on May 19, 2020, the shareholders took the following actions: (i) elected each of the Company’s ten nominees for director to serve for terms of one year and until their successors are duly elected and qualified, (ii) approved the Company’s executive compensation on an advisory basis, (iii) approved the Employee Stock Purchase Plan, as amended and restated, (iv) ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020 and (v) did not approve the shareholder proposal entitled “Adopt a New Shareholder Right – Written Consent.”

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 Company’s Amended and Restated Certificate of Incorporation, as amended.

 

FOR

   

AGAINST

   

ABSTAIN

   

BROKER
NON-VOTES

 

Proposal 1: Election of Directors

   

     

     

     

 

Melissa M. Arnoldi

   

102,942,041

     

1,293,790

     

39,828

     

5,314,902

 

Charlene T. Begley

   

102,881,411

     

1,353,769

     

40,479

     

5,314,902

 

Steven D. Black

   

102,219,009

     

2,013,013

     

43,637

     

5,314,902

 

Adena T. Friedman

   

104,209,824

     

39,568

     

26,267

     

5,314,902

 

Essa Kazim

   

102,926,702

     

1,302,073

     

46,884

     

5,314,902

 

Thomas A. Kloet

   

103,442,546

     

791,770

     

41,343

     

5,314,902

 

John D. Rainey

   

102,938,895

     

1,293,250

     

43,514

     

5,314,902

 

Michael R. Splinter

   

101,249,493

     

2,984,256

     

41,910

     

5,314,902

 

Jacob Wallenberg

   

98,338,333

     

5,895,197

     

42,129

     

5,314,902

 

Alfred W. Zollar

   

102,912,763

     

1,319,850

     

43,046

     

5,314,902

 
                                 

Proposal 2: Approval of the Company’s Executive Compensation on an Advisory Basis

   

101,041,078

     

3,189,696

     

44,885

     

5,314,902

 
                                 

Proposal 3: Approval of the Employee Stock Purchase Plan, as Amended and Restated

   

104,121,907

     

114,889

     

38,863

     

5,314,902

 
                                 

Proposal 4: Ratification of the Appointment of Ernst & Young LLP as the Company’s Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2020

   

105,038,447

     

4,515,859

     

36,255

     

0

 
                                 

Proposal 5: Shareholder Proposal – “Adopt a New Shareholder Right - Written Consent”

   

36,569,406

     

67,598,444

     

107,809

     

5,314,902

 


SIGNATURES

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

Dated: May 21, 2020

 

 

NASDAQ, INC.

             

 

 

By:

 

/s/ John A. Zecca

 

 

Name:

 

John A. Zecca

 

 

Title:

 

Executive Vice President and Chief Legal Officer