0001209191-19-030348.txt : 20190516 0001209191-19-030348.hdr.sgml : 20190516 20190516161439 ACCESSION NUMBER: 0001209191-19-030348 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190514 FILED AS OF DATE: 20190516 DATE AS OF CHANGE: 20190516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CONCANNON CHRISTOPHER R CENTRAL INDEX KEY: 0001251713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34091 FILM NUMBER: 19832392 MAIL ADDRESS: STREET 1: BATS GLOBAL MARKETS STREET 2: 8050 MARSHALL DRIVE, SUITE 120 CITY: LENEXA STATE: KS ZIP: 66214 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MARKETAXESS HOLDINGS INC CENTRAL INDEX KEY: 0001278021 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 522230784 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 55 HUDSON YARDS, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: 212-831-6000 MAIL ADDRESS: STREET 1: 55 HUDSON YARDS, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: MARKETAXESS HOLDING INC DATE OF NAME CHANGE: 20040129 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-05-14 0 0001278021 MARKETAXESS HOLDINGS INC MKTX 0001251713 CONCANNON CHRISTOPHER R C/O MARKETAXESS HOLDINGS INC. 55 HUDSON YARDS, 15TH FLOOR NEW YORK NY 10001 1 1 0 0 President & COO Common Stock, par value $0.003 per share 2019-05-14 4 M 0 8969 A 36964 D Performance Shares 2019-05-14 4 M 0 8969 D Common Stock 8969 0 D Each performance share represented a contingent right to receive a share of the Company's common stock upon the Company's attainment of certain levels of average price per share of the common stock, 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. On May 14, 2019, the Company issued 8,969 shares of restricted stock pursuant to the achievement of such performance objectives. The restricted stock will vest on January 22, 2024. Exhibit 24 - Power of Attorney /s/ Jason Edelstein, as Attorney-in-Fact for Christopher R. Concannon 2019-05-16 EX-24.4_853427 2 poa.txt POA DOCUMENT POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS Know all by these presents, that the undersigned hereby makes, constitutes and appoints each of Scott Pintoff, Jason Edelstein and Antonio DeLise signing singly, and each acting individually, with the full power of substitution, the undersigned's true and lawful attorney-in-fact to: (1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC"), a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or any rule thereunder; (2) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director and/or stockholder of MarketAxess Holdings Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and the rules thereunder; (3) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and file such Form with the SEC and any stock exchange or similar authority; and (4) take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming nor relieving, nor is the Company assuming nor relieving, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act or any rule thereunder. The undersigned acknowledges that neither the Company nor the foregoing attorneys-in-fact assume (i) any liability for the undersigned's responsibility to comply with the requirement of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requirements, or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of, and transactions in, securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. Notwithstanding the foregoing, if any attorney-in-fact appointed hereby hereafter ceases to be an employee of the Company, then this Power of Attorney shall be automatically revoked solely as to such individual, immediately upon such cessation, without any further action on the undersigned's part. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 19th day of February, 2019. /s/ Christopher R. Concannon Christopher R. Concannon