NASDAQ OMX Group

The NASDAQ OMX Group, Inc.

Bob Greifeld is Chief Executive Officer of The NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange company.

Greifeld assumed leadership of NASDAQ in 2003, when the company's primary business was operating one equity market in the U.S. Today, NASDAQ OMX is a leading participant in the exchange and technology sector, delivering trading, listing, financial market technology and public company services across six continents. Mr. Greifeld has led NASDAQ OMX through a series of complex, innovative acquisitions that have extended its footprint across the world, spanning all asset classes. In 2008, he led the Exchange's combination with Stockholm-based OMX AB, as well as acquisitions of the Philadelphia Stock Exchange, the Boston Stock Exchange and Nord Pool, Europe's largest power market. Nasdaq OMX operates 22 markets, 10 clearing houses and supplies technology to another 65 exchanges around the world. In January 2009, NASDAQ OMX was named "Company of the Year" by Forbes magazine. Also in 2009, NASDAQ OMX was ranked as one of the best performing companies in the U.S. as part of the BusinessWeek 50, and it was named to Fortune Magazine's annual list of 100 Fastest Growing Companies.

Greifeld has been a strong advocate of modernizing exchanges and financial regulation to keep America's capital markets competitive. He has been outspoken on issues including Sarbanes Oxley, encouraging CEOs to embrace sound, modern regulation as consistent with good business practices. Greifeld has been critical of outmoded U.S. immigration policies, citing these as harmful to U.S. innovation and business growth. Prior to joining NASDAQ OMX, Greifeld led the buy-side businesses for SunGard Data Systems. He was an entrepreneur for 10 years and with a small team, created what became the industry standard trade order management system for NASDAQ stocks. The company he led, Automated Securities Clearance and its technology platform, BRASS, was purchased by SunGard in 1999. Greifeld holds a Masters in Business from New York University, Stern School of Business, and a B.A. in English from Iona College. His graduate school thesis was on the operation of The NASDAQ Stock Market.

Greifeld is a member of the Business Roundtable, the Financial Services Roundtable and the Partnership for New York City, an organization devoted to enhancing the local economy. He is Chairman of the USA Track & Field Foundation, which supports emerging athletes and inner city youth athletics.



Current as of: 01/11

The NASDAQ OMX Group, Inc.

Lee Shavel is Chief Financial Officer and Executive Vice President, Corporate Strategy at NASDAQ OMX Group, Inc. (NASDAQ: NDAQ). Mr. Shavel is responsible for all aspects of financial management at NASDAQ OMX including accounting, financial planning and analysis, investor relations, treasury, internal reporting, corporate operations and risk management. In addition, Mr. Shavel oversees Corporate Strategy, working with Mr. Greifeld and the EVPs to define NASDAQ's strategic direction, identify business and corporate opportunities and execute M&A transactions. He has worked extensively with the senior management team at NASDAQ for the past seven years in his prior role as their investment banker on many strategic and financing transactions.

Mr. Shavel joined NASDAQ OMX in May 2011 after 18 years at Bank of America Merrill Lynch where he was Americas Head of Financial Institutions Investment Banking and prior to that Global Chief Operating Officer and Head of Finance, Securities and Technology in the Financial Institutions Group. During that time, Mr. Shavel established and developed the Specialty Finance Group at Merrill Lynch, focusing on emerging high growth financial services companies. He worked intensively in the Securities and Exchange sector where he advised on many of the significant transactions in the sector including the IPOs of NASDAQ, Archipelago, Instinet, the New York Mercantile Exchange (NYMEX), the International Securities Exchange (ISE) and provided M&A advice on the sale of ISE to Deutsche Borse, the sale of NYMEX to CME Group, the merger of Archipelago and REDIBook and the acquisitions of INET and BRUT by NASDAQ. He joined Merrill Lynch & Co. in 1993 after four years at Citicorp in Financial Institutions.

Mr. Shavel graduated with honors from the University of Pennsylvania in 1989 with a B.S. in Economics from the Wharton School of Finance and a B.A. in English.

The NASDAQ OMX Group, Inc.

Meyer “Sandy” Frucher is Vice Chairman of The NASDAQ OMX Group. In this role, Mr. Frucher is responsible for global exchange relationships and serves as a senior advisor to NASDAQ OMX’s senior management team on a broad range of industry and regulatory issues. He joined the exchange after NASDAQ OMX completed its acquisition of The Philadelphia Stock Exchange, known today as NASDAQ OMX PHLX, on July 24, 2008.

From June 1998, Mr. Frucher was Chairman and CEO of the Philadelphia Stock Exchange. Under Mr. Frucher's leadership, the PHLX built an advanced trading system that set new industry standards for exchange trading technology. He also led the effort to demutualize the Exchange making the PHLX the first floor-based exchange to convert from a seat-owned, mutual cooperative institution to a for-profit, shareholding Delaware company. In 2005, Mr. Frucher enhanced the PHLX’s competitive position by striking strategic alliances with six key Wall Street and derivatives firms including Citadel Derivatives Trading Group LLC, Citigroup, Credit Suisse, Merrill Lynch, Morgan Stanley and UBS. Each firm made significant investments in the PHLX.

Mr. Frucher also spearheaded the revitalization of the Philadelphia Board of Trade (PBOT), the futures market subsidiary to the PHLX. Before Mr. Frucher came to the PHLX, he gained extensive experience in business, government and labor relations. Among other positions, he has served as a Management Consultant to major organizations including World Financial Properties Inc., formerly Olympia and York. He served as Executive Vice President of Development for Olympia and York from 1988 to 1996, where he coordinated and oversaw all development projects in the U.S. Mr. Frucher led two major, quasi-public authorities in New York where he was responsible for the development, financing and construction of complex, large-scale public and private facilities. He served from 1984 to 1988 as President and CEO of the Battery Park City Authority in New York City. Mr. Frucher was Chief Labor Negotiator for the state of New York from 1978 to 1983.

In addition to his responsibilities at the PHLX, Mr. Frucher is the founding chairman and trustee emeritus of the Board of the Massachusetts Museum of Contemporary Art, an institution responsible for developing the largest center for contemporary visual and performing arts in the United States. He also sits on the Board of the Saratoga Performing Arts Center located in Saratoga Springs, N.Y.

Mr. Frucher received a Bachelor's degree in Government from Columbia University. He earned a Master of Public Administration degree from the John F. Kennedy School of Government, Harvard University.

NASDAQ OMX Group, Inc.

Bruce E. Aust is Executive Vice President, Global Corporate Client Group at NASDAQ OMX (NASDAQ: NDAQ), the world's largest exchange. In this role, Mr. Aust oversees global business development and relationship management with the 3,700 companies listed on NASDAQ OMX Group's 16 listing markets. Mr. Aust also has responsibility for NASDAQ OMX's Corporate Services unit, which provides investor relations, corporate governance and visibility services to public and private companies worldwide.

Mr. Aust oversees a nationwide sales force in the U.S. as well as global representatives serving countries including China, Israel, India, Russia, Japan, Korea, South America and the Nordic and Baltic regions.

During Mr. Aust's tenure, NASDAQ OMX has attracted some of the country's highest profile IPOs, including Google, Baidu, JetBlue and Verisk Analytics, as well as NYSE company switches including Mattel, News Corporation, Dreamworks, ADP, Direct TV, Liberty Media, Micron, BMC Software, and Vodafone.

Previously, Mr. Aust served as Executive Director and Vice President of the Corporate Client Group, a role in which he maintained oversight of all listed companies in the Western Region, representing 60 percent of the market cap on NASDAQ. He has assisted more than 200 companies in going public and works closely with CEOs and executives of some of the most well-known companies listed on NASDAQ. Throughout his career with the firm, he has been instrumental in managing NASDAQ OMX's international investor programs, providing listed companies with exposure to institutional investors in Europe and Asia.

Prior to joining NASDAQ in 1998, Mr. Aust spent 12 years at Fidelity Investments in a variety of sales, trading, and management positions in Dallas, Boston, Los Angeles, and San Francisco. He is the recipient of the University of Southern Mississippi College of Business Distinguished Alumni Award and The Digital Leadership award from Computers for Youth. In addition, Mr. Aust is a Technet Executive Committee member.

Current as of: 10/11

Holdings: 121,751 shares     View Transactions
Date	Type	Shares Traded	Price Range
May 13, 2013	Automatic Sell	7,500	30.37
May 13, 2013	Option Execute	7,500	9.15
Apr 15, 2013	Automatic Sell	7,500	29.00
Apr 15, 2013	Option Execute	7,500	9.15
Mar 13, 2013	Automatic Sell	7,500	32.11
Mar 13, 2013	Option Execute	7,500	9.15
Feb 13, 2013	Automatic Sell	7,500	30.44
Feb 13, 2013	Option Execute	7,500	9.15
Feb 7, 2013	Automatic Sell	5,000	28.97
Feb 7, 2013	Option Execute	5,000	7.35
Jan 14, 2013	Automatic Sell	7,500	26.64
Jan 14, 2013	Option Execute	7,500	9.15
Jan 7, 2013	Automatic Sell	5,000	26.33
Jan 7, 2013	Option Execute	5,000	7.35
Dec 31, 2012	Disposition (Non Open Market)	21,720	24.99
Dec 18, 2012	Automatic Sell	20,000	25.00
Dec 18, 2012	Option Execute	20,000	7.35
Jul 2, 2012	Disposition (Non Open Market)	17,578	22.89
Feb 22, 2012	Acquisition (Non Open Market)	42,723	n/a
Feb 1, 2012	Automatic Sell	5,000	25.00
Feb 1, 2012	Option Execute	5,000	7.35
Jan 3, 2012	Automatic Sell	5,000	25.03
Jan 3, 2012	Disposition (Non Open Market)	11,652	24.96
Jan 3, 2012	Option Execute	5,000	7.35
Dec 1, 2011	Automatic Sell	5,000	26.07
Dec 1, 2011	Option Execute	5,000	7.35
Nov 1, 2011	Automatic Sell	5,000	25.00
Nov 1, 2011	Option Execute	5,000	7.35
Oct 10, 2011	Automatic Sell	5,000	25.00
Oct 10, 2011	Option Execute	5,000	7.35
Sep 15, 2011	Automatic Sell	5,000	25.00
Sep 15, 2011	Option Execute	5,000	7.35
Jul 1, 2011	Automatic Sell	5,000	25.24
Jul 1, 2011	Option Execute	5,000	7.35
Jun 30, 2011	Disposition (Non Open Market)	6,033	25.30
Jun 1, 2011	Automatic Sell	5,000	25.37
Jun 1, 2011	Option Execute	5,000	7.35
May 2, 2011	Automatic Sell	5,000	27.18
May 2, 2011	Option Execute	5,000	7.35
Apr 1, 2011	Automatic Sell	5,000	25.79
Apr 1, 2011	Option Execute	5,000	7.35
Feb 23, 2011	Acquisition (Non Open Market)	32,405	n/a
Dec 13, 2010	Disposition (Non Open Market)	2,730	22.71
Feb 17, 2010	Acquisition (Non Open Market)	22,138	n/a
Dec 14, 2009	Disposition (Non Open Market)	2,255	19.93
Jun 30, 2009	Acquisition (Non Open Market)	50,000	n/a
Feb 25, 2009	Acquisition (Non Open Market)	12,396	n/a
Jul 16, 2007	Automatic Sell	5,000	31.47
Jul 16, 2007	Option Execute	5,000	9.15
Jun 15, 2007	Automatic Sell	5,000	31.79

NASDAQ OMX Group, Inc.

Anna Ewing is Executive Vice President of Global Technology Solutions for the NASDAQ OMX Group, Inc. Anna has more than 25 years of experience in delivering client-focused technology in the financial services industry. In her role at NASDAQ OMX, Anna is responsible for Global Technology Services and the Market Technology business unit, which provides commercial technology solutions to over 70 exchanges and markets around the world. Integral to Ms. Ewing's role is overseeing the exchange's technology roadmap.

Since assuming her position, Ms. Ewing has been the technology architect for NASDAQ OMX's transformation from a single U.S. cash equities market to an exchange company with 24 markets around the globe, covering all major asset classes. In addition to the OMX merger, Ms. Ewing and her team have re-platformed company acquisitions including BX, formerly the Boston Exchange and NASDAQ OMX PHLX and have successfully rolled out the INET trading system in all NASDAQ OMX equity markets across the world. The Technology team at NASDAQ OMX has supported the launch of dozens of new products across all of the company's business units. All this was accomplished while providing 99.99+% uptime for its markets, which experienced record volumes during the financial crisis. Most recently, Ms. Ewing oversaw the acquisition of SMARTS, the world leading provider of market surveillance technology for exchange, regulator, and broker markets worldwide. She also manages the global technology operations for FTEN, a leading provider of real-time risk management solutions, which was acquired by NASDAQ OMX in December 2010.

As a widely recognized expert, technology innovator and driver of company and industry growth, Anna participates and is frequently featured as a speaker at a variety of events globally. Ms. Ewing regularly participates in leading financial industry conferences, global economic forums, such as The World Economic Forum, and other technology-focused events.

Prior to joining NASDAQ, Anna was with CIBC World Markets in New York and Toronto, where she served as Managing Director of Global Applications Services and as a founding member of CIBC.com. Before that, Ms. Ewing served as Vice President at Merrill Lynch, where she held various leadership positions within Technology. She is a graduate of Schulich School of Business at York University in Toronto. Ms. Ewing holds an M.B.A. from York University in Toronto, where she majored in Management Information Systems.

Holdings: 246,771 shares     View Transactions
Date	Type	Shares Traded	Price Range
May 13, 2013	Automatic Sell	20,000	30.39
Dec 31, 2012	Disposition (Non Open Market)	28,083	24.99
Sep 4, 2012	Automatic Sell	20,063	23.00
Sep 4, 2012	Option Execute	20,063	7.35
Jul 2, 2012	Disposition (Non Open Market)	48,532	22.89
Mar 26, 2012	Automatic Sell	10,000	27.00
Mar 26, 2012	Option Execute	10,000	7.35
Feb 22, 2012	Acquisition (Non Open Market)	66,456	n/a
Jan 3, 2012	Disposition (Non Open Market)	10,050	24.96
Jun 30, 2011	Disposition (Non Open Market)	17,269	25.30
May 16, 2011	Automatic Sell	19,937	28.03
May 16, 2011	Option Execute	19,937	7.35
Feb 23, 2011	Acquisition (Non Open Market)	44,557	n/a
Dec 13, 2010	Disposition (Non Open Market)	2,513	22.71
Feb 17, 2010	Acquisition (Non Open Market)	22,138	n/a
Dec 14, 2009	Disposition (Non Open Market)	2,581	19.93
Jun 30, 2009	Acquisition (Non Open Market)	150,000	n/a
Feb 25, 2009	Acquisition (Non Open Market)	12,396	n/a
Dec 15, 2008	Disposition (Non Open Market)	7,301	23.30
Jan 25, 2008	Disposition (Non Open Market)	13,108	42.98
Dec 14, 2007	Disposition (Non Open Market)	7,299	46.75
Oct 12, 2007	Automatic Sell	10,000	41.23
Oct 12, 2007	Option Execute	10,000	9.15
Oct 5, 2007	Automatic Sell	10,000	40.00
Oct 5, 2007	Option Execute	10,000	9.15
Sep 20, 2007	Automatic Sell	20,000	38.20
Sep 20, 2007	Option Execute	20,000	9.15
Sep 12, 2007	Automatic Sell	24,366	35.00
Sep 12, 2007	Option Execute	15,000	8.50 - 9.15
May 22, 2007	Automatic Sell	5,000	32.50
May 22, 2007	Option Execute	5,000	8.50
Apr 20, 2007	Automatic Sell	10,000	32.50
Apr 20, 2007	Option Execute	10,000	13.00
Jan 16, 2007	Automatic Sell	10,000	35.12
Jan 16, 2007	Option Execute	10,000	8.50
Dec 15, 2006	Automatic Sell	10,000	35.94
Dec 15, 2006	Option Execute	10,000	8.50
Dec 14, 2006	Disposition (Non Open Market)	7,300	35.30
Dec 13, 2006	Acquisition (Non Open Market)	10,870	n/a
Nov 15, 2006	Automatic Sell	10,000	37.45
Nov 15, 2006	Option Execute	10,000	8.50
Oct 16, 2006	Automatic Sell	10,000	34.70
Oct 16, 2006	Option Execute	10,000	8.50
Aug 3, 2006	Disposition (Non Open Market)	7,000	26.00
Aug 3, 2006	Option Execute	14,000	13.00
Feb 14, 2006	Disposition (Non Open Market)	462	39.40
Dec 20, 2005	Acquisition (Non Open Market)	50,000	n/a
Dec 14, 2005	Statement of Ownership	0	n/a

NASDAQ OMX Group, Inc.

John Jacobs is Chief Marketing Officer and Executive Vice President for The NASDAQ OMX Group, Inc., the world's largest exchange company. As Chief Marketing Officer, Jacobs plays a key role in the strategic development and implementation of the company's branding and messaging. His group is responsible for the full spectrum of NASDAQ OMX's brand marketing including advertising, marketing communications, market research, public relations and media relations targeting NASDAQ OMX customers and audiences in the U.S. and abroad.

Jacobs is also head of The NASDAQ OMX Global Index Group. In this position, Jacobs is responsible for all aspects of its business development including the creation and licensing of strategy indexes in the U.S. and abroad.

Under his direction, NASDAQ launched the NASDAQ-100 Index Tracking StockSM (QQQQ), one of the most successful financial products in stock market history. To date, The NASDAQ OMX Global Index Group has launched over 2900 products based on NASDAQ indices in more than 27 countries around the world.

Among his former responsibilities at NASDAQ, Jacobs launched and led NASDAQ's first listed-company sales force, then went on to lead the company's customer service teams.

Also included in his broad range of experience is management of NASDAQ's listings and compliance group, which reviews and processes all SEC documents and financial filings. Additionally, Jacobs was part of the team that garnered a "yes" vote from more than 5,000 NASD member firms to spin off NASDAQ. Since then, he was part of the core group that successfully orchestrated the first two rounds of NASDAQ's private placements, paving the way for NASDAQ to become a publicly traded company.

Jacobs earned his BS in accounting from the University of Maryland, is a certified public accountant (CPA), and holds an MBA from Loyola. He has taught Investment Banking and other graduate courses in the MBA programs at both Johns Hopkins University and Georgetown University.

For over 10 years, he served as a judge for both the Washington, DC and New York City Ernst & Young Entrepreneur of The Year Award Programs. Jacobs has also presided as a judge for the MBA competition at the University of Maryland.

In addition to past service on the Boards of NASDAQ Global Funds, Inc., NASDAQ Financial Products Services Ireland Limited, The NASDAQ Insurance Agency LLC, and the Board of Advisors of CourtExpress, Inc., he currently serves on the Editorial Board of the Journal of Indexes.

Current as of: 03/11

Holdings: 124,193 shares     View Transactions
Date	Type	Shares Traded	Price Range
Dec 31, 2012	Disposition (Non Open Market)	20,312	24.99
Dec 13, 2012	Sell	300,000	24.34
Dec 13, 2012	Option Execute	300,000	7.35 - 9.15
Jul 2, 2012	Disposition (Non Open Market)	16,066	22.89
Mar 26, 2012	Automatic Sell	31,620	27.00
Feb 22, 2012	Acquisition (Non Open Market)	37,976	n/a
Jan 3, 2012	Disposition (Non Open Market)	8,024	24.96
Nov 8, 2011	Automatic Sell	3,965	26.00
Nov 8, 2011	Option Execute	3,965	13.38
Oct 28, 2011	Automatic Sell	12,490	26.00
Oct 28, 2011	Option Execute	12,490	13.38
Oct 27, 2011	Automatic Sell	13,245	26.00
Oct 27, 2011	Option Execute	13,245	13.38
Feb 23, 2011	Acquisition (Non Open Market)	28,354	n/a
Jan 27, 2011	Automatic Sell	30,300	25.02
Jan 27, 2011	Option Execute	30,300	8.50
Feb 17, 2010	Acquisition (Non Open Market)	22,138	n/a
Jun 30, 2009	Acquisition (Non Open Market)	50,000	n/a
Feb 25, 2009	Acquisition (Non Open Market)	12,396	n/a
Nov 12, 2007	Automatic Sell	6,000	40.68
Nov 12, 2007	Option Execute	6,000	13.00 - 13.38
Oct 15, 2007	Automatic Sell	10,000	40.33
Oct 15, 2007	Option Execute	10,000	13.00
Sep 12, 2007	Automatic Sell	10,000	35.00
Sep 12, 2007	Option Execute	10,000	13.00
Dec 13, 2006	Acquisition (Non Open Market)	10,870	n/a
Feb 17, 2006	Option Execute	14,000	13.00

NASDAQ OMX Group, Inc.

Hans-Ole Jochumsen is Executive Vice President of Transaction Services Nordics for The NASDAQ OMX Group, Inc. (NASDAQ: NDAQ), the world's largest exchange company. Transaction Services Nordics is an integrated marketplace of seven independent Nordic and Baltic exchanges. These Nordic exchanges offers trading of Nordic and Baltic securities shares, derivatives and fixed income products, all traded on highly efficient trading systems enabling easy cross border trading. Jochumsen is also responsible for NASDAQ OMX Commodities, the global commodities business unit within the company, encompassing among other things the clearing of financial products traded on the world's largest power exchange, Nord Pool. Furthermore, Hans-Ole Jochumsen oversees Broker Services, NASDAQ OMX's offering of back office and custody solutions to Nordic clients.

As President Transaction Services Nordics, Jochumsen's responsibility is to successfully lead the Nordic and Baltic markets to maintain and further develop the strong strategic position in the Northern European securities markets. In addition, Hans-Ole Jochumsen's EVP responsibilities also covers the Global Data Products unit. The business unit is focused on creating innovative real-time and historical data products and on providing unsurpassed market transparency to institutional, retail and individual investors. GDP products and services offer traders strategic advantages, including superior speed, depth and flexibility of data management and delivery. Prior to the merger between NASDAQ and OMX, Jochumsen served as President and member of the OMX Executive Team. Hans-Ole Jochumsen has played a key role in the strategic development of OMX and the business area Information Services & New Markets in particular.

Jochumsens responsibility encompassed three areas, enabling growth in Information Services, integrating and developing the Baltic markets as well as cultivating OMX business in high potential Central European capital markets. Areas of responsibility also included Broker Services, OMX's offering of back office and custody solutions to Nordic clients.

During Jochumsen's tenure, OMX has successfully launched the Nordic Market Data offering, bringing the market data distribution from seven different Nordic and Baltic marketplaces into one source. Jochumsen has also led the launch of the news distribution service and significant developments on the Baltic markets.

Previously, Jochumsen served as President and CEO of Copenhagen Stock Exchange and FUTOP Clearingcentralen Ltd. He was at the helm of the Copenhagen Stock Exchange during its exceptional turnaround from 1998-2006. He also spearheaded the merger of the Copenhagen and Stockholm exchanges.

From 1990 to 1998 Jochumsen served as member of the Manangement Board of the following Danish financial institutions; BRFkredit, GiroBank and BG Bank. The latter being the third largest bank in Denmark. .



Current as of: 03/10

Eric W. Noll is Executive Vice President, Transaction Services of The NASDAQ OMX Group Inc. (NASDAQ: NDAQ), the world's largest exchange. Noll oversees the trading operations of all U.S. Transaction Services business including The NASDAQ Stock Market, NASDAQ OMX BX, NASDAQ OMX PHLX, The NASDAQ Options Market, The NASDAQ OMX Futures Exchange, and NASDAQ OMX PSX which is the first U.S. equity trading platform with a price-size priority model.

He is a thought-leader on U.S. market structure and an advocate for investors on regulation reform that ensures a transparent and efficient marketplace.

Additionally, Mr. Noll oversees the integration of acquisitions like FTEN, a leading provider of real-time risk management solutions for the financial securities market, and he is responsible for strategic investments including International Derivatives Clearing Group.

Mr. Noll joined NASDAQ OMX from Susquehanna International Group, LLP where he served as Managing Director of SFG, and as Associate Director and Global Head of Strategic Relationships for SIG since 1994. During his time at Susquehanna, Eric oversaw all the exchange relationships, created the investment banking department, developed an institutional equity research department and was responsible for all options and equity order flows for the market-maker operation. He also managed new businesses, strategic investments including technology, investment banking, and private equity focused businesses, as well as acquisitions and international alliances.

Prior to his time at Susquehanna International Group, Mr. Noll held positions at the former Philadelphia Stock Exchange and The Chicago Board Options Exchange. He has a Master of Business Administration from the Owen Graduate School of Management at Vanderbilt University with a Finance Concentration and a Bachelor of Arts with a double major in Economics and Government from the Franklin and Marshall College. Mr. Noll is a Trustee of Franklin and Marshall College and is a Member of the Board of Visitors of the Owen Graduate School of Management.

Brad Peterson is Executive Vice President and Chief Information Officer (CIO) for The NASDAQ OMX Group, Inc. He previously served as CIO and EVP for Schwab Technology Services (STS), responsible for Schwab’s technology innovation, development, infrastructure and operations.

In addition to leading Schwab’s technology enterprise, Peterson also had responsibility for Project Services (which covered the planning, coordination and financial management of all company-wide projects) and Offshore Services (leveraging third-party offshore capabilities whenever appropriate).

Peterson also served as CIO at eBay for five years. Prior to eBay, Peterson was the Managing Director and Chief Operating Officer (COO) at Epoch Securities after its merger with Goldman Sachs Group, Inc. He has also held senior executive positions at companies including Epoch Partners, Schwab, Pacific Bell Wireless and Pacific Telesis (now part of AT&T).

He earned his master's degree in management at MIT Sloan School of Management and a bachelor's degree in systems science and economics at the University of California, Los Angeles (UCLA).

The NASDAQ OMX Group, Inc.

Edward Knight is Executive Vice President and General Counsel of the NASDAQ OMX Group (NASDAQ: NDAQ), the world's largest exchange. Mr. Knight served as the Chief Legal Officer of the National Association of Securities Dealers (NASD, now FINRA) from June 1999 until becoming NASDAQ General Counsel in 2001. In his role as General Counsel, Knight is responsible for providing legal counsel to senior management and for overseeing the quality of legal services across the global organization. He is also responsible for government relations, listing qualifications, market regulation and the office of economic research. In addition, Knight oversees the Office of Corporate Secretary, which is responsible for all of NASDAQ's corporate governance activities and maintaining the Corporate Record. Mr. Knight is the Chief Regulatory Officer of the NASDAQ Exchange.

Knight led NASDAQ's efforts to operate as a national securities exchange. In January 2006, the Securities and Exchange Commission (SEC) unanimously approved NASDAQ's application for exchange status. This action allowed NASDAQ to complete its separation from NASD and realize its vision as the premier market in the world served by the gold standard in regulators, the NASD.

Prior to joining the NASD, Knight served as General Counsel of the U.S. Department of the Treasury from September 1994 to June 1999, where he was the Department's longest-serving General Counsel since the position was created in 1934. Upon his departure, Knight received the Alexander Hamilton Award from Treasury Secretary Robert Rubin. This is the Department's highest award. He also received the Honor Award from the Secret Service. Before being named General Counsel, Knight served as Executive Secretary and Senior Advisor to Secretary of the Treasury Lloyd Bentsen.

Knight's accomplishments at the Treasury Department include his critical involvement in the United States' provision of bilateral assistance to the Government of Mexico in 1995 and to the Government of Brazil in the fall of 1998. He served on the commission that restructured the Internal Revenue Service in 1996 and led the legal team that advised Treasury Secretary Rubin in 1995 and 1996 on the debt limit crisis.

Prior to his tenure at the Treasury, Knight was a partner with the law firm of Akin, Gump, Strauss, Hauer and Feld in its Washington, D.C., office. A Texas native, Knight received his B.A., with honors, in Latin American Studies from the University of Texas at Austin and his J.D. from the University of Texas School of Law. He sits on the law school's Alumni Board of Directors. Knight is a member of the District of Columbia, Texas and Supreme Court Bars. He is a member of the Council on Foreign Relations. Mr. Knight served as a member of the Obama Transition Team at the U.S. Treasury Department in 2008-2009.

Current as of: 03/10

Holdings: 149,644 shares     View Transactions
Date	Type	Shares Traded	Price Range
Mar 28, 2013	Disposition (Non Open Market)	3,847	32.30
Dec 31, 2012	Disposition (Non Open Market)	20,726	24.99
Dec 12, 2012	Automatic Sell	105,000	24.25
Dec 12, 2012	Option Execute	105,000	7.35 - 9.15
Sep 14, 2012	Automatic Sell	19,048	24.26
Sep 14, 2012	Option Execute	19,048	7.35
Sep 13, 2012	Automatic Sell	952	24.26
Sep 13, 2012	Option Execute	952	7.35
Jul 2, 2012	Disposition (Non Open Market)	16,066	22.89
Mar 28, 2012	Disposition (Non Open Market)	4,540	26.42
Mar 26, 2012	Automatic Sell	10,000	27.00
Feb 22, 2012	Acquisition (Non Open Market)	42,723	n/a
Jan 3, 2012	Disposition (Non Open Market)	10,313	24.96
Mar 28, 2011	Acquisition (Non Open Market)	19,778	n/a
Feb 23, 2011	Acquisition (Non Open Market)	35,159	n/a
Feb 8, 2011	Sell	5,115	25.99
Feb 8, 2011	Option Execute	7,200	13.00
Feb 17, 2010	Acquisition (Non Open Market)	19,187	n/a
Dec 14, 2009	Disposition (Non Open Market)	2,207	19.93
Jun 30, 2009	Acquisition (Non Open Market)	50,000	n/a
Feb 25, 2009	Acquisition (Non Open Market)	10,743	n/a
Oct 8, 2007	Automatic Sell	10,000	40.40
Dec 13, 2006	Acquisition (Non Open Market)	9,615	n/a
Dec 1, 2006	Automatic Sell	33,500	37.77
Dec 1, 2006	Option Execute	33,500	13.00
Aug 17, 2006	Automatic Sell	15,000	30.00
Aug 17, 2006	Option Execute	15,000	13.00
Aug 3, 2006	Disposition (Non Open Market)	3,445	26.41
Aug 3, 2006	Option Execute	7,000	13.00
Feb 14, 2006	Disposition (Non Open Market)	993	39.40
Nov 16, 2005	Disposition (Non Open Market)	2,478	36.71
Nov 16, 2005	Option Execute	7,000	13.00
Feb 14, 2004	Disposition (Non Open Market)	1,096	9.15

• Certificate of Incorporation
• By-Laws
• Marketplace Rules
• The NASDAQ OMX Group, Inc. Corporate Governance Guidelines
• NASDAQ LLC, NASDAQ OMX PHLX LLC & NASDAQ OMX BX Corporate Governance Guidelines
• Board of Directors Duties and Obligations
• Procedures for Communicating with the Board of Directors
• Board and Corporate Committees
• Audit Committee Charter
• Executive Committee Charter
• Finance Committee Charter
• Nominating and Governance Committee
• Management Compensation Committee Charter

• The NASDAQ Stock Market LLC
• Certificate of Formation and Limited Liability Company Agreement
• The NASDAQ Stock Market LLC Rules
• By-Laws
• Board and Corporate Committee Charters
• Regulatory Oversight Committee Charter
• Non-Board Standing Committees
• Economic Advisory Board
• Institutional Traders Advisory Council
• Legal and Compliance Advisory Committee
• Market Operations Review Committee
• Market Regulation Committee
• Quality of Markets Committee
• Adjudicatory Councils
• NASDAQ Review Council
• NASDAQ Listing and Hearing Review Council
• Nominating Committees
• The NASDAQ Stock Market LLC Nominating Committee
• The NASDAQ Stock Market LLC Member Nominating Committee
• NASDAQ OMX PHLX LLC
• Certificate of Formation
• Limited Liability Company Agreement
• By-laws
• Rules of NASDAQ OMX PHLX LLC
• Board and Corporate Committee Charters
• Regulatory Oversight Committee
• NASDAQ OMX Futures Exchange Board and Standing Committees Charters
• Business Conduct Committee
• Regulatory Oversight Committee
• Nominating Committee
• Non-Board Standing Committees
• Market Operations Review
• Quality of Markets Committee
• Adjudicatory Councils
• Business Conduct Committee
• Nominating Committees
• Member Nominating Committee
• Nominating Committee
• NASDAQ OMX BX
• Certificate of Incorporation
• By-laws
• Rules of NASDAQ OMX BX, Inc.
• Board and Corporate Committee Charters
• Regulatory Oversight Committee
• Non-Board Standing Committees
• Market Regulation Committee
• Quality of Markets Committee
• National Arbitration and Mediation Committee
• Adjudicatory Councils
• Review Council
• Nominating Committees
• Member Nominating Committee
• Nominating Committee
• NASDAQ OMX NFX
• NASDAQ OMX Futures Exchange (NFX) Board of Directors
• Rules of the NASDAQ OMX Futures, Inc.
• Board and Standing Committees Charters
• Business Conduct Committee
• Regulatory Oversight Committee
• Nominating Committee

• Board of Director Code of Conduct
• NASDAQ OMX Code of Ethics
• OMX Wholeheartedly Proud Policy

• Report Concerns

As a public company, NASDAQ OMX encourages its employees, customers and the public to notify us with complaints or concerns about suspected violations regarding NASDAQ OMX's accounting practices, internal controls, financial statements, corporate policies or applicable governmental laws, rules and regulations.

To report a suspected violation contact:

The NASDAQ OMX Group, Inc.
Attn: NASDAQ OMX Office of General Counsel
9600 Blackwell Road
Rockville, MD 20850
Ph: (301) 978-8400


• Board of Directors

To communicate with the Board of Directors, any individual Director or any group or Committee of Directors, correspondence should be addressed to the Board of Directors or any such individual Director or group or Committee of Directors by either name or title. Please send a note/letter to:

The NASDAQ OMX Group, Inc.
One Liberty Plaza, 50th Floor
New York, NY 10006
Attention: Corporate Secretary

All communications will be opened by the Corporate Secretary for the sole purpose of determining whether the contents represent a message to NASDAQ OMX's Board of Directors. The Corporate Secretary will forward copies of all correspondence that, in the opinion of the Corporate Secretary, deals with the functions of the Board of Directors or its committees or that he or she otherwise determines requires the attention of any member, group or committee of the Board of Directors.

The Corporate Secretary will not forward or respond to junk mail, job inquiries, business solicitations, complaints by users or customers with respect to ordinary course of business customer service, offensive or otherwise inappropriate materials.