SEC Form 4 · accession 0001012975-16-000924
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard M McVey
Officer — Chairman & CEO · Director
Period of report
Jan 15, 2016
Accepted (ET)
Jan 20, 2016 · 4:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001278021
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.003 per shareF1 | Jan 15, 2016 | F | 6,731 | $101.77 | D | 1,087,096 | D | |
| Common Stock, par value $0.003 per shareF2 | Jan 15, 2016 | A | 9,033 | $0.00 | A | 1,096,129 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $101.77 | Jan 15, 2016 | A | 28,002 | A | — | Jan 15, 2021 | Common Stock | 28,002 | 28,002 | D |
Explanation of responses
- F1Represents the surrender of shares to the Company to satisfy Mr. McVey's tax withholding obligation upon the vesting of shares of restricted stock previously granted to Mr. McVey.
- F2Represents a grant of restricted stock units pursuant to the Company's 2012 Incentive Plan. The restricted stock units will vest in three installments of 34% on January 31, 2017 and 33% on each of January 31, 2018 and January 31, 2019.
- F3The options will vest in three installments of 34% on January 31, 2017 and 33% on each of January 31, 2018 and January 31, 2019.