0000895345-21-000381.txt : 20210322 0000895345-21-000381.hdr.sgml : 20210322 20210322212132 ACCESSION NUMBER: 0000895345-21-000381 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210318 FILED AS OF DATE: 20210322 DATE AS OF CHANGE: 20210322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARSHAW ROBERT J CENTRAL INDEX KEY: 0001278872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 21762872 MAIL ADDRESS: STREET 1: TRADEWEB MARKETS INC. STREET 2: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tradeweb Markets Inc. CENTRAL INDEX KEY: 0001758730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-430-6000 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 4 1 form4.xml X0306 4 2021-03-18 0001758730 Tradeweb Markets Inc. TW 0001278872 WARSHAW ROBERT J TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true Chief Financial Officer Class A common stock 2021-03-18 4 F 0 1712 72.75 D 65606 D Class A common stock 2021-03-18 4 A 0 7 0 A 65613 D Class A common stock 2021-03-19 4 S 0 1789 72.2557 D 63824 D Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person. This amount includes (i) 22,004 unvested RSUs in respect of the Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 6,989 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (iii) 20,966 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iv) 5,865 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 15, 2021, in each case subject to the reporting person's continued employed through the applicable vesting date. Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 17, 2020. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.96 to $72.695, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 5 to this Form 4. /s/ Scott Zucker, Attorney-in-Fact for Robert Warshaw 2021-03-22