SEC Form 4 · accession 0001012975-16-001202
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
May 9, 2016
Accepted (ET)
May 11, 2016 · 5:06 pm EDT
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 shareF2 | May 9, 2016 | S | 5,467 | $126.3005 | D | 1,103,192 | D | |
| Common Stock, par value $0.003 per shareF3 | May 9, 2016 | S | 18,122 | $127.3672 | D | 1,085,070 | D | |
| Common Stock, par value $0.003 per shareF4 | May 9, 2016 | S | 6,411 | $127.9719 | D | 1,078,659 | D | |
| Common Stock, par value $0.003 per share | May 10, 2016 | M | 25,975 | $12.96 | A | 1,104,634 | D | |
| Common Stock, par value $0.003 per shareF5 | May 10, 2016 | S | 23,841 | $126.7351 | D | 1,080,793 | D | |
| Common Stock, par value $0.003 per shareF6 | May 10, 2016 | S | 1,159 | $127.5477 | D | 1,079,634 | D | |
| Common Stock, par value $0.003 per share | May 11, 2016 | M | 63,565 | $12.96 | A | 1,143,199 | D | |
| Common Stock, par value $0.003 per shareF7 | May 11, 2016 | S | 11,100 | $127.2449 | D | 1,132,099 | D | |
| Common Stock, par value $0.003 per shareF8 | May 11, 2016 | S | 13,400 | $127.7257 | D | 1,118,699 | D | |
| Common Stock, par value $0.003 per shareF9 | May 11, 2016 | S | 500 | $128.701 | D | 1,118,199 | 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)F10 | $12.96 | May 10, 2016 | M | 25,975 | D | — | Jan 12, 2017 | Common Stock | 25,975 | 63,565 | D |
| Employee Stock Option (right to buy)F10 | $12.96 | May 11, 2016 | M | 63,565 | D | — | Jan 12, 2017 | Common Stock | 63,565 | 0 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F10The stock option is currently exercisable.
- F2The transactions were executed in multiple trades at prices ranging from $125.785 to $126.78. 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.
- F3The transactions were executed in multiple trades at prices ranging from $126.80 to $127.79. 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.
- F4The transactions were executed in multiple trades at prices ranging from $127.80 to $128.19. 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.
- F5The transactions were executed in multiple trades at prices ranging from $126.50 to $127.46. 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 $127.50 to $127.59. 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 transactions were executed in multiple trades at prices ranging from $126.51 to $127.48. 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.
- F8The transactions were executed in multiple trades at prices ranging from $127.51 to $128.32. 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.
- F9The transactions were executed in multiple trades at prices ranging from $128.625 to $128.72. 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.