UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13D-1(b)(c) AND (d) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2(b)
THE NASDAQ STOCK MARKET, INC.
-----------------------------
(Name of Issuer)
Common Stock, par value $0.01 per share
---------------------------------------
(Title of Class of Securities)
631103
------
(CUSIP Number)
December 31, 2001
-----------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
| | Rule 13d-1(b)
| | Rule 13d-1(c)
|X| Rule 13d-1(d)
1 of 4 Pages
SCHEDULE 13G
- ----------------------- -------------------------
CUSIP No. 631103 Page 2 of 4 Pages
- ----------------------- -------------------------
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
The National Association of Securities Dealers, Inc.
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
Not applicable (a) [ ]
(b) [ ]
- ------- -----------------------------------------------------------------------
3 SEC USE ONLY
- ------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- -------------------------------------------------------------------------------
| 5 | SOLE VOTING POWER
| |
| |
| | 76,994,871
|-----|------------------------------------------
NUMBER OF | 6 | SHARED VOTING POWER
SHARES | |
BENEFICIALLY | |
OWNED BY | |
EACH |-----|------------------------------------------
REPORTING | 7 | SOLE DISPOSITIVE POWER
PERSON | |
WITH | |
| | 76,994,871
|------------------------------------------------
| 8 | SHARED DISPOSITIVE POWER
| |
| |
| |
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
76,994,871
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(See Instructions) [ ]
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
68.9%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
OO
- -------------------------------------------------------------------------------
SCHEDULE 13G
Item 1 (a) Name of Issuer:
The Nasdaq Stock Market, Inc.
Item 1 (b) Address of Issuer's Principal Executive Offices:
One Liberty Plaza
New York, New York 10006
Item 2 (a) Name of Person Filing:
The National Association of Securities Dealers, Inc.
Item 2 (b) Address of Principal Business Office:
1735 K Street, N.W.
Washington, DC 20006
Item 2 (c) Citizenship:
Delaware
Item 2 (d) Title of Class of Securities:
Common Stock, par value $0.01 per share
Item 2 (e) CUSIP Number:
631103
Item 3 Not Applicable
Item 4 Ownership:
(a) Amount Beneficially Owned: 76,995,171
(b) Percent of Class: 68.9%
(c) Number of Shares as to which the person has:
(i) Sole power to vote or to direct the vote: 76,995,171
(ii) Shared power to vote or to direct the vote:
(iii) Sole power to dispose or to direct the disposition of:
76,995,171
(iv) Shared power to dispose or to direct the disposition of:
Item 5 Ownership of Five Percent or Less of a Class:
Not Applicable
Page 3 of 4 Pages
Item 6 Ownership of More than Five Percent on Behalf of Another Person:
Not Applicable
Item 7 Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company or
Control Person:
Not Applicable
Item 8 Identification and Classification of Members of the Group:
Not Applicable
Item 9 Notice of Dissolution of Group:
Not Applicable
Item 10 Certification:
Not Applicable
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: February 14, 2002
/s/ T. Grant Callery
- -----------------------------------------------------
Signature
Name: T. Grant Callery
Title: Senior Vice President and General Counsel
Page 4 of 4 Pages