SEC Form 4 · accession 0001012975-17-000106
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Themelis
Officer — Chief Information Officer
Period of report
Feb 9, 2017
Accepted (ET)
Feb 10, 2017 · 4:06 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 share | Feb 9, 2017 | M | 10,468 | $10.93 | A | 72,635 | D | |
| Common Stock, par value $0.003 per shareF1 | Feb 9, 2017 | S | 2,302 | $187.2887 | D | 70,333 | D | |
| Common Stock, par value $0.003 per shareF2 | Feb 9, 2017 | S | 5,560 | $188.1689 | D | 64,773 | D | |
| Common Stock, par value $0.003 per shareF3 | Feb 9, 2017 | S | 2,606 | $189.0652 | D | 62,167 | 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)F4 | $10.93 | Feb 9, 2017 | M | 10,468 | D | — | Jan 15, 2018 | Common Stock | 10,468 | 9,596 | D |
Explanation of responses
- F1The transactions were executed in multiple trades at prices ranging from $186.73 to $187.72. 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.
- F2The transactions were executed in multiple trades at prices ranging from $187.84 to $188.83. 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 $188.86 to $189.38. 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 employee stock option is currently exercisable.