SEC Form 4 · accession 0001012975-19-000135
MARKETAXESS HOLDINGS INC · MKTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David G Gomach
Director
Period of report
Feb 4, 2019
Accepted (ET)
Feb 6, 2019 · 4:22 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 | Nov 30, 2018 | G | 299 | $0.00 | D | 299 | D | |
| Common Stock, par value $0.003 per share | Nov 30, 2018 | G | 299 | $0.00 | A | 19,059 | I | By Trust |
| Common Stock, par value $0.003 per share | Feb 4, 2019 | M | 3,187 | $10.77 | A | 3,486 | D | |
| Common Stock, par value $0.003 per share | Feb 4, 2019 | G | 3,187 | $0.00 | D | 299 | D | |
| Common Stock, par value $0.003 per share | Feb 4, 2019 | G | 3,187 | $0.00 | A | 22,246 | I | By Trust |
| Common Stock, par value $0.003 per shareF1 | Feb 4, 2019 | S | 3,187 | $215.83 | D | 19,059 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $10.77 | Feb 4, 2019 | M | 3,187 | D | — | Jul 30, 2019 | Common Stock | 3,187 | 0 | D |
Explanation of responses
- F1The transaction was executed in multiple trades at prices ranging from $215.69 to $216.01. 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.
- F2The stock options were fully exercisable.