SEC Form 4 · accession 0001012975-17-000488
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin M McPherson
Officer — Global Head of Sales
Period of report
Jun 8, 2017
Accepted (ET)
Jun 12, 2017 · 5:48 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 | Jun 8, 2017 | M | 5,000 | $10.93 | A | 90,929 | D | |
| Common StockF1 | Jun 8, 2017 | S | 2,495 | $199.3407 | D | 88,434 | D | |
| Common StockF2 | Jun 8, 2017 | S | 1,805 | $200.2698 | D | 86,629 | D | |
| Common StockF3 | Jun 8, 2017 | S | 700 | $201.4429 | D | 85,929 | D | |
| Common Stock | Jun 12, 2017 | M | 4,286 | $10.93 | A | 90,215 | D | |
| Common StockF4 | Jun 12, 2017 | S | 1,026 | $202.1782 | D | 89,189 | D | |
| Common StockF5 | Jun 12, 2017 | S | 3,053 | $203.1291 | D | 86,136 | D | |
| Common StockF6 | Jun 12, 2017 | S | 207 | $204.3414 | D | 85,929 | 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 | $10.93 | Jun 8, 2017 | M | 5,000 | D | — | Jan 15, 2018 | Common Stock | 5,000 | 9,286 | D |
| Employee Stock Option (right to buy)F7 | $10.93 | Jun 12, 2017 | M | 4,286 | D | — | Jan 15, 2018 | Common Stock | 4,286 | 5,000 | D |
Explanation of responses
- F1The transaction was executed in multiple trades at prices ranging from $199.01 to $199.87. 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 transaction was executed in multiple trades at prices ranging from $200.02 to $200.67. 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 transaction was executed in multiple trades at prices ranging from $201.17 to $201.61. 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 transaction was executed in multiple trades at prices ranging from $201.835 to $202.57. 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 transaction was executed in multiple trades at prices ranging from $202.915 to $203.63. 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 transaction was executed in multiple trades at prices ranging from $204.30 to $204.38. 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.
- F7The employee stock option is fully exercisable.