false 0001120193 0001120193 2021-06-15 2021-06-15 0001120193 us-gaap:CommonStockMember 2021-06-15 2021-06-15 0001120193 ndaq23:M0.875SeniorNotesDue2030Member 2021-06-15 2021-06-15 0001120193 ndaq23:M1.75SeniorNotesDue2029Member 2021-06-15 2021-06-15 0001120193 ndaq23:M1.75SeniorNotesDue2023Member 2021-06-15 2021-06-15





Washington, D.C. 20549



Form 8-K




Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 17, 2021 (June 15, 2021)



Nasdaq, Inc.

(Exact name of registrant as specified in its charter)




Delaware   001-38855   52-1165937

(State or other jurisdiction

of incorporation)



File Number)


(I.R.S. Employer

Identification No.)


151 W. 42nd Street,

New York, New York

(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





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 2021 Annual Meeting of Shareholders of Nasdaq, Inc. (the “Company”) held on June 15, 2021, 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) ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021 and (iv) did not approve the shareholder proposal entitled “Adopt a Mainstream 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

Proposal 1: Election of Directors


Melissa M. Arnoldi

     103,032,148        232,941        28,785        6,203,294  

Charlene T. Begley

     102,835,157        423,594        35,123        6,203,294  

Steven D. Black

     102,349,027        907,689        37,158        6,203,294  

Adena T. Friedman

     103,118,720        150,434        24,720        6,203,294  

Essa Kazim

     102,775,696        466,005        52,173        6,203,294  

Thomas A. Kloet

     102,783,612        471,709        38,553        6,203,294  

John D. Rainey

     102,982,531        273,077        38,266        6,203,294  

Michael R. Splinter

     101,215,999        2,032,750        45,125        6,203,294  

Jacob Wallenberg

     97,202,710        6,064,574        26,590        6,203,294  

Alfred W. Zollar

     102,982,618        281,468        29,788        6,203,294  

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

     97,576,456        5,643,912        73,506        6,203,294  

Proposal 3: Ratification of the Appointment of Ernst & Young LLP as the Company’s Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2021

     103,917,986        5,552,411        26,771        0  

Proposal 4: Shareholder Proposal –“Adopt a Mainstream Shareholder Right – Written Consent”

     34,244,231        68,924,619        125,024        6,203,294  


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: June 17, 2021       NASDAQ, INC.  

/s/ John A. Zecca

      Name: John A. Zecca  

Executive Vice President and Chief

Legal Officer