SEC Form 4 · accession 0001012975-18-001279
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
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 6:30 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 | Dec 3, 2018 | G | 2,000 | $0.00 | D | 1,042,846 | D | |
| Common Stock, par value $0.003 per share | Dec 3, 2018 | G | 2,000 | $0.00 | A | 2,000 | I | By Immediate Family Member |
| Common Stock, par value $0.003 per share | Dec 4, 2018 | M | 23,190 | $21.56 | A | 1,066,036 | D | |
| Common Stock, par value $0.003 per share | Dec 4, 2018 | G | 10,000 | $0.00 | D | 1,056,036 | 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 | $21.56 | Dec 4, 2018 | M | 23,190 | D | — | Jan 19, 2021 | Common Stock | 23,190 | 110,779 | D |
Explanation of responses
- F1The 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.