SEC Info - NASDAQ, Inc. - ‘10-Q’ for 9/30/19

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NASDAQ, Inc. – ‘10-Q’ for 9/30/19 – ‘EX-32.1’

On: Wednesday, 11/6/19, at 12:54pm ET · For: 9/30/19 · Accession #: 1120193-19-15 · File #: 1-38855

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

11/06/19  NASDAQ, Inc.                      10-Q        9/30/19  119:15M

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   1.95M 
 2: EX-10.1     Material Contract                                   HTML     78K 
 3: EX-31.1     Certification -- §302 - SOA'02                      HTML     37K 
 4: EX-31.2     Certification -- §302 - SOA'02                      HTML     37K 
 5: EX-32.1     Certification -- §906 - SOA'02                      HTML     36K 
68: R1          Cover Page                                          HTML     96K 
31: R2          Condensed Consolidated Balance Sheets               HTML    132K 
46: R3          Condensed Consolidated Balance Sheets               HTML     44K 
                (Parenthetical)                                                  
108: R4          Condensed Consolidated Statements of Income         HTML    131K  
66: R5          Condensed Consolidated Statements of Comprehensive  HTML     61K 
                Income (Loss)                                                    
29: R6          Condensed Consolidated Statements of Changes in     HTML    100K 
                Stockholders' Equity                                             
44: R7          Condensed Consolidated Statements of Cash Flows     HTML    147K 
110: R8          Organization and Nature of Operations               HTML     49K  
64: R9          Basis of Presentation and Principles of             HTML     47K 
                Consolidation                                                    
95: R10         Significant Accounting Policies Update              HTML     86K 
81: R11         Revenue From Contracts With Customers               HTML    300K 
16: R12         Acquisitions and Divestiture                        HTML     59K 
56: R13         Assets and Liabilities Held For Sale                HTML     48K 
93: R14         Goodwill and Acquired Intangible Assets             HTML    147K 
79: R15         Investments                                         HTML     58K 
15: R16         Deferred Revenue                                    HTML    299K 
55: R17         Debt Obligations                                    HTML    104K 
96: R18         Retirement Plans                                    HTML     38K 
78: R19         Share-Based Compensation                            HTML    133K 
37: R20         Nasdaq Stockholders? Equity                         HTML     69K 
49: R21         Earnings Per Share                                  HTML     67K 
119: R22         Fair Value of Financial Instruments                 HTML     81K  
76: R23         Clearing Operations                                 HTML     93K 
36: R24         Income Taxes                                        HTML     56K 
48: R25         Commitments, Contingencies and Guarantees           HTML     53K 
118: R26         Business Segments                                   HTML    166K  
75: R27         Restructuring Charges                               HTML     41K 
34: R28         Significant Accounting Policies Update (Policies)   HTML     67K 
50: R29         Basis of Presentation and Principles of             HTML     43K 
                Consolidation (Tables)                                           
52: R30         Significant Accounting Policies Update (Tables)     HTML     83K 
11: R31         Revenue From Contracts With Customers (Tables)      HTML    215K 
83: R32         Acquisitions and Divestiture (Tables)               HTML     49K 
97: R33         Assets and Liabilities Held For Sale (Tables)       HTML     52K 
53: R34         Goodwill and Acquired Intangible Assets (Tables)    HTML    228K 
12: R35         Investments (Tables)                                HTML     44K 
84: R36         Deferred Revenue (Tables)                           HTML    111K 
98: R37         Debt Obligations (Tables)                           HTML     77K 
51: R38         Share-Based Compensation (Tables)                   HTML    124K 
13: R39         Nasdaq Stockholders? Equity (Tables)                HTML     61K 
45: R40         Earnings Per Share (Tables)                         HTML     67K 
30: R41         Fair Value of Financial Instruments (Tables)        HTML     71K 
65: R42         Clearing Operations (Tables)                        HTML     72K 
107: R43         Income Taxes (Tables)                               HTML     50K  
47: R44         Business Segments (Tables)                          HTML    161K 
32: R45         Restructuring Charges (Tables)                      HTML     41K 
67: R46         Organization and Nature of Operations (Details)     HTML     64K 
109: R47         Significant Accounting Policies Update (Narrative)  HTML     41K  
                (Details)                                                        
43: R48         Significant Accounting Policies Update (Summary of  HTML     41K 
                Supplemental Balance Sheet Information Related to                
                Operating Leases) (Details)                                      
33: R49         Significant Accounting Policies Update (Lease       HTML     41K 
                Cost) (Details)                                                  
23: R50         Significant Accounting Policies Update (Operating   HTML     53K 
                Lease Maturity) (Details)                                        
62: R51         Significant Accounting Policies Update (Lease       HTML     36K 
                Terms and Discount Rate) (Details)                               
100: R52         Significant Accounting Policies Update              HTML     36K  
                (Supplemental Cash Flow Information) (Details)                   
86: R53         Revenue From Contracts With Customers (Revenue by   HTML    125K 
                Product, Service and Segment) (Details)                          
22: R54         Revenue From Contracts With Customers Revenue From  HTML     44K 
                Contracts With Customers (Narrative) (Details)                   
61: R55         Revenue From Contracts With Customers (Remaining    HTML     52K 
                Performance Obligation) (Details)                                
99: R56         Acquisitions and Divestiture (2019 Divestiture and  HTML     66K 
                Acquisition) (Details)                                           
85: R57         Acquisitions and Divestiture (2018 Divestiture)     HTML     45K 
                (Details)                                                        
21: R58         Acquisitions and Divestiture (Intangible Assets)    HTML     46K 
                (Details)                                                        
63: R59         Assets and Liabilities Held For Sale (Details)      HTML     93K 
114: R60         Goodwill and Acquired Intangible Assets (Schedule   HTML     55K  
                of Changes in Goodwill) (Details)                                
74: R61         Goodwill and Acquired Intangible Assets             HTML     51K 
                (Narrative) (Details)                                            
27: R62         Goodwill and Acquired Intangible Assets             HTML     72K 
                (Finite-Lived and Indefinite-Lived Intangible                    
                Assets) (Details)                                                
42: R63         Goodwill and Acquired Intangible Assets (Estimated  HTML     48K 
                Future Amortization Expense) (Details)                           
111: R64         Investments (Schedule of Investments) (Details)     HTML     45K  
71: R65         Investments (Narrative) (Details)                   HTML     67K 
24: R66         Deferred Revenue (Changes in Deferred Revenue)      HTML     61K 
                (Details)                                                        
39: R67         Deferred Revenue (Estimated Deferred Revenue)       HTML     71K 
                (Details)                                                        
116: R68         Debt Obligations (Changes in Debt Obligations)      HTML    129K  
                (Details)                                                        
70: R69         Debt Obligations (Commercial Paper) (Details)       HTML     41K 
87: R70         Debt Obligations (Senior Unsecured Notes)           HTML     36K 
                (Details)                                                        
103: R71         Debt Obligations (Senior Unsecured Floating Rate    HTML     37K  
                Notes) (Details)                                                 
57: R72         Debt Obligations (Early Extinguishment of 5.55%     HTML     42K 
                Senior Unsecured Notes) (Details)                                
17: R73         Debt Obligations (3.875% Senior Unsecured Notes)    HTML     44K 
                (Details)                                                        
90: R74         Debt Obligations (4.25% Senior Unsecured Notes)     HTML     41K 
                (Details)                                                        
106: R75         Debt Obligations (1.75% Senior Unsecured Notes Due  HTML     44K  
                2023) (Details)                                                  
60: R76         Debt Obligations (3.85% Senior Unsecured Notes)     HTML     41K 
                (Details)                                                        
20: R77         Debt Obligations Debt Obligations (1.75% Senior     HTML     51K 
                Unsecured Notes Due 2029) (Details)                              
91: R78         Debt Obligations (2017 Credit Facility) (Details)   HTML     56K 
101: R79         Debt Obligations (Other Credit Facilities)          HTML     37K  
                (Details)                                                        
88: R80         Retirement Plans (Details)                          HTML     40K 
104: R81         Share-Based Compensation (Narrative) (Details)      HTML    131K  
58: R82         Share-Based Compensation (Summary of Share-Based    HTML     40K 
                Compensation Expense) (Details)                                  
18: R83         Share-Based Compensation (Summary of Restricted     HTML     57K 
                Stock Activity) (Details)                                        
89: R84         Share-Based Compensation (Schedule of Weighted-     HTML     45K 
                Average Assumptions Used to Determine                            
                Weighted-Average Fair Values) (Details)                          
105: R85         Share-Based Compensation (Summary of PSU Activity)  HTML     65K  
                (Details)                                                        
59: R86         Share-Based Compensation (Summary of Stock Options  HTML     44K 
                Valuation Assumptions) (Details)                                 
19: R87         Share-Based Compensation (Summary of Stock Option   HTML     71K 
                Activity) (Details)                                              
92: R88         Nasdaq Stockholders' Equity (Narrative) (Details)   HTML     87K 
102: R89         Nasdaq Stockholders' Equity (Common Stock in        HTML     40K  
                Treasury) (Details)                                              
113: R90         Nasdaq Stockholders' Equity (Schedule of Dividends  HTML     37K  
                Declared) (Details)                                              
73: R91         Earnings Per Share (Details)                        HTML     66K 
26: R92         Fair Value of Financial Instruments (Schedule of    HTML     58K 
                Financial Assets and Liabilities Measured at Fair                
                Value on Recurring Basis) (Details)                              
41: R93         Fair Value of Financial Instruments (Narrative)     HTML     53K 
                (Details)                                                        
112: R94         Clearing Operations (Narrative) (Details)           HTML     87K  
72: R95         Clearing Operations (Schedule of Clearing Member    HTML     42K 
                Default Fund Contributions And Margin Deposits)                  
                (Details)                                                        
25: R96         Clearing Operations (Schedule of Derivative         HTML     48K 
                Contracts) (Details)                                             
40: R97         Income Taxes (Components of Income Tax Provision)   HTML     40K 
                (Details)                                                        
115: R98         Income Taxes (Narrative) (Details)                  HTML     41K  
69: R99         Commitments, Contingencies and Guarantees           HTML     60K 
                (Details)                                                        
80: R100        Business Segments (Narrative) (Details)             HTML     36K 
94: R101        Business Segments (Schedule of Operating Segments)  HTML     60K 
                (Details)                                                        
54: R102        Business Segments (Corporate Items) (Details)       HTML     70K 
14: R103        Restructuring Charges (Narrative) (Details)         HTML     39K 
82: R104        Restructuring Charges (Summary of Restructuring     HTML     46K 
                Plan) (Details)                                                  
35: XML         IDEA XML File -- Filing Summary                      XML    233K 
77: XML         XBRL Instance -- ndaq930201910-q_htm                 XML   4.18M 
28: EXCEL       IDEA Workbook of Financial Reports                  XLSX    136K 
 7: EX-101.CAL  XBRL Calculations -- ndaq-20190930_cal               XML    316K 
 8: EX-101.DEF  XBRL Definitions -- ndaq-20190930_def                XML   1.17M 
 9: EX-101.LAB  XBRL Labels -- ndaq-20190930_lab                     XML   2.31M 
10: EX-101.PRE  XBRL Presentations -- ndaq-20190930_pre              XML   1.56M 
 6: EX-101.SCH  XBRL Schema -- ndaq-20190930                         XSD    274K 
117: JSON        XBRL Instance as JSON Data -- MetaLinks              483±   724K  
38: ZIP         XBRL Zipped Folder -- 0001120193-19-000015-xbrl      Zip    633K

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

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

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Exhibit

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 September 30, 2019 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, Accounting and 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:	November 6, 2019

			/s/ *Michael Ptasznik*
		Name:	Michael Ptasznik
		Title:	Executive Vice President, Accounting and Corporate Strategy and Chief Financial Officer
		Date:	November 6, 2019

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

This ‘10-Q’ Filing	Date	Other Filings

Filed on:	11/6/19	None on these Dates
For Period end:	9/30/19
		List all Filings

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Filing Submission 0001120193-19-000015 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)