0001012975-18-000956.txt : 20180807
0001012975-18-000956.hdr.sgml : 20180807
20180807171013
ACCESSION NUMBER: 0001012975-18-000956
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180803
FILED AS OF DATE: 20180807
DATE AS OF CHANGE: 20180807
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: McVey Richard M
CENTRAL INDEX KEY: 0001296466
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34091
FILM NUMBER: 18999011
MAIL ADDRESS:
STREET 1: C/O MARKETAXESS HOLDINGS INC.
STREET 2: 140 BROADWAY, 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
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: 299 PARK AVENUE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
BUSINESS PHONE: 212-831-6000
MAIL ADDRESS:
STREET 1: 299 PARK AVENUE, 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10171
FORMER COMPANY:
FORMER CONFORMED NAME: MARKETAXESS HOLDING INC
DATE OF NAME CHANGE: 20040129
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2018-08-03
0001278021
MARKETAXESS HOLDINGS INC
MKTX
0001296466
McVey Richard M
C/O MARKETAXESS HOLDINGS INC.
299 PARK AVENUE
NEW YORK
NY
10171
1
1
0
0
Chairman & CEO
Common Stock, par value $0.003 per share
2018-08-03
4
M
0
9041
21.56
A
1054743
D
Common Stock, par value $0.003 per share
2018-08-03
4
M
0
10959
21.56
A
1065702
D
Common Stock, par value $0.003 per share
2018-08-03
4
S
0
10959
189.3075
D
1054743
D
Common Stock, par value $0.003 per share
2018-08-06
4
M
0
9945
21.56
A
1064688
D
Common Stock, par value $0.003 per share
2018-08-06
4
M
0
12055
21.56
A
1076743
D
Common Stock, par value $0.003 per share
2018-08-06
4
S
0
12055
189.0328
D
1064688
D
Employee Stock Option (right to buy)
21.56
2018-08-03
4
M
0
9041
0
D
2021-01-19
Common stock
9041
210928
D
Employee Stock Option (right to buy)
21.56
2018-08-03
4
M
0
10959
0
D
2021-01-19
Common stock
10959
199969
D
Employee Stock Option (right to buy)
21.56
2018-08-06
4
M
0
9945
0
D
2021-01-19
Common stock
9945
190024
D
Employee Stock Option (right to buy)
21.56
2018-08-06
4
M
0
12055
0
D
2021-01-19
Common Stock
12055
177969
D
The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $21.56 per share.
The transaction was executed in multiple trades at prices ranging from $189.00 to $189.98. 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.
The transaction was executed in multiple trades at prices ranging from $189.00 to $189.205. 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.
The 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.
/s/ Ori Solomon, as Attorney-in-Fact for Richard M. McVey
2018-08-07