SEC Form 4 · accession 0001012975-19-000093
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher R Concannon
Officer — President and COO · Director
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 6:18 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 shareF1 | Jan 22, 2019 | A | 23,329 | $0.00 | A | 23,329 | D | |
| Common Stock, par value $0.003 per shareF2 | Jan 22, 2019 | A | 4,666 | $0.00 | A | 27,995 | 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 | $272.88 | Jan 22, 2019 | A | 35,679 | A | Jan 22, 2024 | Jul 22, 2024 | Common Stock | 35,679 | 35,679 | D |
| Employee Stock Option (right to buy | $294.71 | Jan 22, 2019 | A | 41,189 | A | Jan 22, 2024 | Jul 22, 2024 | Common Stock | 41,189 | 41,189 | D |
| Performance SharesF3 | — | Jan 22, 2019 | A | 8,969 | A | — | — | Common Stock | 8,969 | 8,969 | D |
| Performance SharesF4 | — | Jan 22, 2019 | A | 9,945 | A | — | — | Common Stock | 9,945 | 9,945 | D |
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 January 22, 2020, and 33% on each of January 22, 2021 and January 22, 2022.
- F2Represents a grant of restricted stock units pursuant to the Company's 2012 Incentive Plan. The restricted stock units will vest on January 22, 2022.
- F3Each performance share represents a contingent right to receive one share of the Company's common stock. 8,969 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of $272.88, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from January 22, 2019 to January 22, 2024.
- F4Each performance share represents a contingent right to receive one share of the Company's common stock. 9,945 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of $294.71, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from January 22, 2019 to January 22, 2024.