SEC Form 4 · accession 0001012975-17-000895
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
Nov 28, 2017
Accepted (ET)
Dec 1, 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 28, 2017 | M | 110,965 | $10.93 | A | 1,193,441 | D | |
| Common Stock, par value $0.003 per share | Nov 28, 2017 | F | 60,261 | $193.43 | D | 1,133,180 | 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)F1 | $10.93 | Nov 28, 2017 | M | 110,965 | D | — | Jan 15, 2018 | Common Stock | 110,965 | 0 | D |
Explanation of responses
- F1The employee stock options were fully exercisable.