SEC Form 4 · accession 0001012975-17-000848
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Steinhardt
Director
Period of report
Nov 14, 2017
Accepted (ET)
Nov 15, 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 | Nov 14, 2017 | M | 4,225 | $9.72 | A | 27,839 | D | |
| Common Stock, par value $0.003 per shareF1 | Nov 14, 2017 | S | 4,225 | $173.9969 | D | 23,614 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $9.72 | Nov 14, 2017 | M | 4,225 | D | — | Aug 1, 2018 | Common Stock | 4,225 | 0 | D |
Explanation of responses
- F1The transaction was executed in multiple trades at prices ranging from $173.99 to $174.12. The price above reflects the weighted average transaction price. Detailed information regarding the number of shares transacted at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
- F2The stock options were fully exercisable.