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