SEC Form 4 · accession 0001012975-18-000122
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
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 5:01 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 | Jan 31, 2018 | F | 1,094 | $196.21 | D | 62,018 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 352 | $196.21 | D | 61,666 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 323 | $196.21 | D | 61,343 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 127 | $196.21 | D | 61,216 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 1,340 | $196.21 | D | 59,876 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 396 | $196.21 | D | 59,480 | D | |
| Common Stock, par value $0.003 per share | Jan 31, 2018 | F | 162 | $196.21 | D | 59,318 | D | |
| Common Stock, par value $0.003 per shareF3 | Jan 31, 2018 | A | 809 | — | A | 60,127 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the surrender of shares to the Company to satisfy Mr. Themelis 's tax withholding obligation upon the vesting of shares of restricted stock previously granted to Mr. Themelis.
- F2Represents the surrender of shares to the Company to satisfy Mr. Themelis 's tax withholding obligation upon the vesting of shares of restricted stock units previously granted to Mr. Themelis.
- F3Settlement of performance shares granted January 15, 2017 pursuant to the Issuer's 2012 Incentive Plan, which were settled based on the achievement by the Issuer of adjusted pre-tax operating income targets during the performance period and are payable in shares of restricted stock. The shares of restricted stock will vest in two equal installments on January 31, 2019 and January 31, 2020.