SEC Form 4 · accession 0001012975-18-000956

MARKETAXESS HOLDINGS INC · MKTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Aug 3, 2018

Accepted (ET)

Aug 7, 2018 · 5:10 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
Common Stock, par value $0.003 per share	Aug 3, 2018	M	9,041	$21.56	A	1,054,743	D
Common Stock, par value $0.003 per share	Aug 3, 2018	M	10,959	$21.56	A	1,065,702	D
Common Stock, par value $0.003 per share^F2	Aug 3, 2018	S	10,959	$189.3075	D	1,054,743	D
Common Stock, par value $0.003 per share	Aug 6, 2018	M	9,945	$21.56	A	1,064,688	D
Common Stock, par value $0.003 per share	Aug 6, 2018	M	12,055	$21.56	A	1,076,743	D
Common Stock, par value $0.003 per share^F3	Aug 6, 2018	S	12,055	$189.0328	D	1,064,688	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$21.56	Aug 3, 2018	M	9,041	D	—	Jan 19, 2021	Common stock	9,041	210,928	D
Employee Stock Option (right to buy)^F4	$21.56	Aug 3, 2018	M	10,959	D	—	Jan 19, 2021	Common stock	10,959	199,969	D
Employee Stock Option (right to buy)^F4	$21.56	Aug 6, 2018	M	9,945	D	—	Jan 19, 2021	Common stock	9,945	190,024	D
Employee Stock Option (right to buy)^F4	$21.56	Aug 6, 2018	M	12,055	D	—	Jan 19, 2021	Common Stock	12,055	177,969	D

F1The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $21.56 per share.
F2The transaction was executed in multiple trades at prices ranging from $189.00 to $189.98. 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 $189.00 to $189.205. 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 option was granted on January 19, 2011. The shares underlying the option vested at the following times: 12.5% on January 15, 2012, 25% on each of January 15, 2013, 2014 and 2015, and 12.5% on January 15, 2016.