SEC Form 4 · accession 0001012975-16-001035
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Antonio L Delise
Officer — Chief Financial Officer
Period of report
Feb 16, 2016
Accepted (ET)
Feb 18, 2016 · 4:05 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 | Feb 16, 2016 | S | 6,800 | $110.60 | D | 52,740 | D | |
| Common Stock, par value $0.003 per shareF2 | Feb 16, 2016 | S | 3,200 | $111.73 | D | 49,540 | D | |
| Common Stock, par value $0.003 per share | Feb 16, 2016 | M | 27,000 | $9.95 | A | 76,540 | D | |
| Common Stock, par value $0.003 per shareF3 | Feb 16, 2016 | F | 1,541 | $110.79 | D | 74,999 | D | |
| Common Stock, par value $0.003 per shareF4,F5 | Feb 16, 2016 | S | 4,911 | $110.657 | D | 70,088 | D | |
| Common Stock, par value $0.003 per shareF4,F6 | Feb 16, 2016 | S | 594 | $111.556 | D | 69,494 | 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)F7 | $9.95 | Feb 16, 2016 | M | 27,000 | D | — | Aug 1, 2016 | Common Stock | 27,000 | 0 | D |
Explanation of responses
- F1The transactions were executed in multiple trades at prices ranging from $110.19 to $111.06. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F2The transactions were executed in multiple trades at prices ranging from $111.255 to $111.970. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F3Represents the surrender of shares to the Company to satisfy the exercise price of some of the options reported in Table II.
- F4The shares were sold to cover the exercise price and taxes due on the exercise of some of the options in Table II.
- F5The transactions were executed in multiple trades at prices ranging from $110.18 to $111.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F6The transactions were executed in multiple trades at prices ranging from $111.260 to $111.970. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F7The option is currently exercisable.