SEC Form 4 · accession 0001012975-18-001211
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 8, 2018
Accepted (ET)
Nov 13, 2018 · 5:02 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 shareF2 | Nov 8, 2018 | S | 5,929 | $203.9467 | D | 1,058,917 | D | |
| Common Stock, par value $0.003 per shareF3 | Nov 8, 2018 | S | 5,730 | $205.1444 | D | 1,053,187 | D | |
| Common Stock, par value $0.003 per shareF4 | Nov 8, 2018 | S | 5,340 | $205.9751 | D | 1,047,847 | D | |
| Common Stock, par value $0.003 per shareF5 | Nov 8, 2018 | S | 1,400 | $207.2473 | D | 1,046,447 | D | |
| Common Stock, par value $0.003 per shareF6 | Nov 8, 2018 | S | 1,601 | $207.9454 | D | 1,044,846 | 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) | $257.78 | Nov 8, 2018 | A | 69,113 | A | Nov 8, 2023 | May 8, 2024 | Common Stock | 69,113 | 69,113 | D |
| Employee Stock Option (right to buy) | $278.40 | Nov 8, 2018 | A | 79,411 | A | Nov 8, 2023 | May 8, 2024 | Common Stock | 79,411 | 79,411 | D |
| Performance SharesF7 | — | Nov 8, 2018 | A | 17,942 | A | — | — | Common Stock | 17,942 | 17,942 | D |
| Performance SharesF8 | — | Nov 8, 2018 | A | 19,800 | A | — | — | Common Stock | 19,800 | 19,800 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2The transaction was executed in multiple trades at prices ranging from $203.47 to $204.45. 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 $204.63 to $205.585. 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 $205.65 to $206.48. 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 $206.70 to $207.70. 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 $207.74 to $208.10. 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.
- F7Each performance share represents a contingent right to receive one share of the Company's common stock. 17,942 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of the common stock of $257.78, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from November 8, 2018 to November 8, 2023.
- F8Each performance share represents a contingent right to receive one share of the Company's common stock. 19,800 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of the common stock of $278.40, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from November 8, 2018 to November 8, 2023.