SEC Form 4 · accession 0001012975-19-000070
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 28, 2018
Accepted (ET)
Jan 17, 2019 · 5:08 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 28, 2018 | G | 10 | $0.00 | D | 1,990 | I | By Immediate Family Member |
| Common Stock, par value $0.003 per share | Dec 28, 2018 | G | 10 | $0.00 | A | 10 | I | By Custodial Account |
| Common Stock, par value $0.003 per shareF1 | Jan 15, 2019 | A | 7,757 | $0.00 | A | 1,063,793 | D | |
| Common Stock, par value $0.003 per share | Jan 15, 2019 | F | 7,555 | $210.88 | D | 1,056,238 | D | |
| Common Stock, par value $0.003 per share | Jan 15, 2019 | F | 5,936 | $210.88 | D | 1,050,302 | D | |
| Common Stock, par value $0.003 per share | Jan 15, 2019 | F | 17,367 | $210.88 | D | 1,032,935 | D | |
| Common Stock, par value $0.003 per share | Jan 15, 2019 | F | 5,263 | $210.88 | D | 1,027,672 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a grant of restricted stock units pursuant to the Company's 2012 Incentive Plan. The restricted stock units will vest in three installments of 34% on February 15, 2020, and 33% on each of January 31, 2021 and January 31, 2022.
- F2Represents the surrender of shares to the Company to satisfy Mr. McVey's tax withholding obligation upon the vesting of restricted stock units previously granted to Mr. McVey.
- F3Represents the surrender of shares to the Company to satisfy Mr. McVey's tax withholding obligation upon the vesting of restricted stock previously granted to Mr. McVey.