SEC Form 4 · accession 0001012975-17-000364
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 1, 2017
Accepted (ET)
May 3, 2017 · 4:07 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 share | May 1, 2017 | M | 20,000 | $10.93 | A | 1,082,844 | D | |
| Common Stock, par value $0.003 per share | May 1, 2017 | S | 10,000 | $191.638 | D | 1,072,844 | D | |
| Common Stock, par value $0.003 per share | May 1, 2017 | S | 10,000 | $192.1216 | D | 1,062,844 | D | |
| Common Stock, par value $0.003 per share | May 2, 2017 | M | 30,000 | $10.93 | A | 1,092,844 | D | |
| Common Stock, par value $0.003 per shareF2 | May 2, 2017 | S | 7,000 | $189.2625 | D | 1,085,844 | 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 | $10.93 | May 1, 2017 | M | 20,000 | D | — | Jan 15, 2018 | Common Stock | 20,000 | 267,000 | D |
| Employee Stock Option (right to buy)F3 | $10.93 | May 2, 2017 | M | 30,000 | D | — | Jan 15, 2018 | Common Stock | 30,000 | 237,000 | D |
Explanation of responses
- F1Represents a sale of shares of common stock to cover the exercise price and taxes due upon exercise of employee stock options.
- F2The transaction was executed in multiple trades at prices ranging from $189.00 to $189.75. 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 employee stock options are currently exercisable.