SEC Form 4 · accession 0001012975-17-000047
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, 2017
Accepted (ET)
Jan 18, 2017 · 4:09 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, 2017 | A | 6,222 | — | A | 1,074,421 | 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)F2 | $156.85 | Jan 15, 2017 | A | 24,515 | A | — | Jan 15, 2023 | Common Stock | 24,515 | 24,515 | D |
Explanation of responses
- F1Represents 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, 2018, and 33% on each of January 31, 2019 and January 31, 2020.
- F2The options will vest in three installments of 34% on January 31, 2018, and 33% on each of January 31, 2019 and January 31, 2020.