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NASDAQ, Inc. – ‘10-Q’ for 3/31/20 – ‘EX-32.1’

On:  Wednesday, 5/6/20, at 3:19pm ET   ·   For:  3/31/20   ·   Accession #:  1120193-20-7   ·   File #:  1-38855

Previous ‘10-Q’:  ‘10-Q’ on 11/6/19 for 9/30/19   ·   Next:  ‘10-Q’ on 8/5/20 for 6/30/20   ·   Latest:  ‘10-Q’ on 11/3/23 for 9/30/23   ·   2 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size

 5/06/20  NASDAQ, Inc.                      10-Q        3/31/20  113:14M

Quarterly Report   —   Form 10-Q   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML   1.39M 
 2: EX-31.1     Certification -- §302 - SOA'02                      HTML     36K 
 3: EX-31.2     Certification -- §302 - SOA'02                      HTML     36K 
 4: EX-32.1     Certification -- §906 - SOA'02                      HTML     35K 
102: R1          Cover Page                                          HTML     94K  
40: R2          Condensed Consolidated Balance Sheets               HTML    137K 
29: R3          Condensed Consolidated Balance Sheets               HTML     43K 
                (Parenthetical)                                                  
65: R4          Condensed Consolidated Statements of Income         HTML    133K 
105: R5          Condensed Consolidated Statements of Comprehensive  HTML     52K  
                Income (Loss)                                                    
43: R6          Condensed Consolidated Statements of Changes in     HTML     74K 
                Stockholders' Equity                                             
30: R7          Condensed Consolidated Statements of Cash Flows     HTML    145K 
62: R8          Organization and Nature of Operations               HTML     47K 
109: R9          Basis of Presentation and Principles of             HTML     44K  
                Consolidation                                                    
78: R10         Revenue From Contracts With Customers               HTML    235K 
91: R11         Acquisitions and Divestiture                        HTML     57K 
49: R12         Goodwill and Acquired Intangible Assets             HTML    138K 
11: R13         Investments                                         HTML     51K 
77: R14         Deferred Revenue                                    HTML    235K 
90: R15         Debt Obligations                                    HTML    104K 
48: R16         Retirement Plans                                    HTML     35K 
10: R17         Share-Based Compensation                            HTML    122K 
75: R18         Nasdaq Stockholders? Equity                         HTML     57K 
92: R19         Earnings Per Share                                  HTML     55K 
46: R20         Fair Value of Financial Instruments                 HTML     99K 
35: R21         Clearing Operations                                 HTML    108K 
72: R22         Leases                                              HTML     88K 
113: R23         Income Taxes                                        HTML     45K  
45: R24         Commitments, Contingencies and Guarantees           HTML     52K 
34: R25         Business Segments                                   HTML    128K 
71: R26         Restructuring Charges                               HTML     42K 
112: R27         Basis of Presentation and Principles of             HTML     56K  
                Consolidation (Policies)                                         
47: R28         Revenue From Contracts With Customers (Tables)      HTML    141K 
33: R29         Acquisitions and Divestiture (Tables)               HTML     48K 
12: R30         Goodwill and Acquired Intangible Assets (Tables)    HTML    213K 
51: R31         Investments (Tables)                                HTML     41K 
87: R32         Deferred Revenue (Tables)                           HTML    120K 
73: R33         Debt Obligations (Tables)                           HTML     78K 
13: R34         Share-Based Compensation (Tables)                   HTML    110K 
52: R35         Nasdaq Stockholders? Equity (Tables)                HTML     52K 
88: R36         Earnings Per Share (Tables)                         HTML     55K 
74: R37         Fair Value of Financial Instruments (Tables)        HTML     94K 
14: R38         Clearing Operations (Tables)                        HTML     91K 
50: R39         Leases (Tables)                                     HTML     91K 
23: R40         Income Taxes (Tables)                               HTML     42K 
37: R41         Business Segments (Tables)                          HTML    125K 
110: R42         Restructuring Charges (Tables)                      HTML     41K  
68: R43         Organization and Nature of Operations (Details)     HTML     62K 
25: R44         Basis of Presentation and Principles of             HTML     40K 
                Consolidation (Details)                                          
38: R45         Revenue From Contracts With Customers (Revenue by   HTML    111K 
                Product, Service and Segment) (Details)                          
111: R46         Revenue From Contracts With Customers Revenue From  HTML     41K  
                Contracts With Customers (Narrative) (Details)                   
70: R47         Revenue From Contracts With Customers (Remaining    HTML     47K 
                Performance Obligation) (Details)                                
26: R48         Revenue From Contracts With Customers (Remaining    HTML     47K 
                Performance Obligation) (Performance Periods)                    
                (Details)                                                        
36: R49         Acquisitions and Divestiture (2019 Divestiture and  HTML     64K 
                Acquisition) (Details)                                           
54: R50         Acquisitions and Divestiture (Intangible Assets)    HTML     44K 
                (Details)                                                        
17: R51         Goodwill and Acquired Intangible Assets (Schedule   HTML     49K 
                of Changes in Goodwill) (Details)                                
86: R52         Goodwill and Acquired Intangible Assets             HTML     43K 
                (Narrative) (Details)                                            
100: R53         Goodwill and Acquired Intangible Assets             HTML     67K  
                (Finite-Lived and Indefinite-Lived Intangible                    
                Assets) (Details)                                                
53: R54         Goodwill and Acquired Intangible Assets (Estimated  HTML     46K 
                Future Amortization Expense) (Details)                           
16: R55         Investments (Schedule of Investments) (Details)     HTML     38K 
85: R56         Investments (Narrative) (Details)                   HTML     62K 
99: R57         Deferred Revenue (Changes in Deferred Revenue)      HTML     59K 
                (Details)                                                        
55: R58         Deferred Revenue (Estimated Deferred Revenue)       HTML     69K 
                (Details)                                                        
15: R59         Debt Obligations (Changes in Debt Obligations)      HTML    124K 
                (Details)                                                        
67: R60         Debt Obligations (Commercial Paper) (Details)       HTML     47K 
106: R61         Debt Obligations (Senior Unsecured Notes)           HTML     34K  
                (Details)                                                        
44: R62         Debt Obligations (3.875% Senior Unsecured Notes)    HTML     42K 
                (Details)                                                        
32: R63         Debt Obligations (4.25% Senior Unsecured Notes)     HTML     41K 
                (Details)                                                        
63: R64         Debt Obligations (1.75% Senior Unsecured Notes Due  HTML     44K 
                2023) (Details)                                                  
101: R65         Debt Obligations (3.85% Senior Unsecured Notes)     HTML     41K  
                (Details)                                                        
39: R66         Debt Obligations (1.75% Senior Unsecured Notes Due  HTML     43K 
                2029) (Details)                                                  
27: R67         Debt Obligations (0.875% Senior Unsecured Notes     HTML     43K 
                Due 2030) (Details)                                              
61: R68         Debt Obligations (3.25% Senior Unsecured Notes Due  HTML     46K 
                2050) (Details)                                                  
108: R69         Debt Obligations (2017 Credit Facility) (Details)   HTML     66K  
95: R70         Debt Obligations (Other Credit Facilities)          HTML     39K 
                (Details)                                                        
79: R71         Retirement Plans (Narrative) (Details)              HTML     38K 
18: R72         Share-Based Compensation (Narrative) (Details)      HTML    121K 
56: R73         Share-Based Compensation (Summary of Share-Based    HTML     38K 
                Compensation Expense) (Details)                                  
98: R74         Share-Based Compensation (Summary of Restricted     HTML     56K 
                Stock Activity) (Details)                                        
82: R75         Share-Based Compensation (Summary of PSU Activity)  HTML     64K 
                (Details)                                                        
22: R76         Share-Based Compensation (Summary of Stock Option   HTML     66K 
                Activity) (Details)                                              
59: R77         Nasdaq Stockholders' Equity (Narrative) (Details)   HTML     77K 
93: R78         Nasdaq Stockholders' Equity (Common Stock in        HTML     38K 
                Treasury) (Details)                                              
83: R79         Nasdaq Stockholders' Equity (Schedule of Dividends  HTML     37K 
                Declared) (Details)                                              
96: R80         Earnings Per Share (Details)                        HTML     60K 
80: R81         Fair Value of Financial Instruments (Schedule of    HTML     66K 
                Financial Assets and Liabilities Measured at Fair                
                Value on Recurring Basis) (Details)                              
20: R82         Fair Value of Financial Instruments (Narrative)     HTML     38K 
                (Details)                                                        
57: R83         Clearing Operations (Narrative) (Details)           HTML     78K 
97: R84         Clearing Operations (Schedule of Clearing Member    HTML     41K 
                Default Fund Contributions And Margin Deposits)                  
                (Details)                                                        
81: R85         Clearing Operations (Investment Policy) (Details)   HTML     45K 
21: R86         Clearing Operations (Schedule of Derivative         HTML     47K 
                Contracts) (Details)                                             
58: R87         Leases (Narrative) (Details)                        HTML     34K 
94: R88         Leases (Summary of Supplemental Balance Sheet       HTML     39K 
                Information Related to Operating Leases) (Details)               
84: R89         Leases (Leases Cost) (Details)                      HTML     40K 
66: R90         Leases (Operating Lease Maturity) (Details)         HTML     52K 
104: R91         Leases (Leases Terms and Discount Rate) (Details)   HTML     35K  
42: R92         Leases (Supplemental Cash Flow Information)         HTML     35K 
                (Details)                                                        
31: R93         Income Taxes (Components of Income Tax Provision)   HTML     38K 
                (Details)                                                        
64: R94         Commitments, Contingencies and Guarantees           HTML     65K 
                (Details)                                                        
103: R95         Business Segments (Narrative) (Details)             HTML     32K  
41: R96         Business Segments (Schedule of Operating Segments)  HTML     59K 
                (Details)                                                        
28: R97         Business Segments (Corporate Items) (Details)       HTML     61K 
60: R98         Restructuring Charges (Narrative) (Details)         HTML     40K 
107: R99         Restructuring Charges (Summary of Restructuring     HTML     45K  
                Plan) (Details)                                                  
24: XML         IDEA XML File -- Filing Summary                      XML    220K 
19: XML         XBRL Instance -- ndaq-20200331_htm                   XML   3.61M 
69: EXCEL       IDEA Workbook of Financial Reports                  XLSX    123K 
 6: EX-101.CAL  XBRL Calculations -- ndaq-20200331_cal               XML    307K 
 7: EX-101.DEF  XBRL Definitions -- ndaq-20200331_def                XML   1.15M 
 8: EX-101.LAB  XBRL Labels -- ndaq-20200331_lab                     XML   2.16M 
 9: EX-101.PRE  XBRL Presentations -- ndaq-20200331_pre              XML   1.48M 
 5: EX-101.SCH  XBRL Schema -- ndaq-20200331                         XSD    271K 
89: JSON        XBRL Instance as JSON Data -- MetaLinks              450±   676K 
76: ZIP         XBRL Zipped Folder -- 0001120193-20-000007-xbrl      Zip    595K 


‘EX-32.1’   —   Certification — §906 – SOA’02


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Exhibit 32.1
Certification of CEO and CFO Pursuant to
18 U.S.C. Section 1350
as Adopted Pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002
In connection with the Quarterly Report on Form 10-Q of Nasdaq, Inc. (the “Company”) for the period ended March 31, 2020 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), Adena T. Friedman, as President and Chief Executive Officer of the Company, and Michael Ptasznik, as Executive Vice President, Corporate Strategy and Chief Financial Officer of the Company, each hereby certifies, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906 of the Sarbanes-Oxley Act of 2002, that, to the best of her or his knowledge:
(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of the operations of the Company.
 
 /s/   Adena T. Friedman
Name:Adena T. Friedman
Title:President and Chief Executive Officer
Date:May 6, 2020
 /s/    Michael Ptasznik
Name:Michael Ptasznik
Title:Executive Vice President, Corporate Strategy and Chief Financial Officer
Date:May 6, 2020
 
This certification accompanies the Report pursuant to § 906 of the Sarbanes-Oxley Act of 2002 and shall not, except to the extent required by the Sarbanes-Oxley Act of 2002, be deemed filed by the Company for purposes of § 18 of the Securities Exchange Act of 1934, as amended.



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-Q’ Filing    Date    Other Filings
Filed on:5/6/20
For Period end:3/31/20DEF 14A,  DEFA14A
 List all Filings 


2 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/09/20  Nasdaq, Inc.                      424B5                  1:629K                                   Donnelley … Solutions/FA
12/07/20  Nasdaq, Inc.                      424B5                  1:618K                                   Donnelley … Solutions/FA
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Filing Submission 0001120193-20-000007   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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