0001758730-23-000072.txt : 20230317 0001758730-23-000072.hdr.sgml : 20230317 20230317160525 ACCESSION NUMBER: 0001758730-23-000072 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230315 FILED AS OF DATE: 20230317 DATE AS OF CHANGE: 20230317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Furber Sara CENTRAL INDEX KEY: 0001503180 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 23742517 MAIL ADDRESS: STREET 1: MORGAN STANLEY INVESTMENT MANAGEMENT STREET 2: 522 FIFTH AVE 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 wf-form4_167908350192939.xml FORM 4 X0306 4 2023-03-15 0 0001758730 Tradeweb Markets Inc. TW 0001503180 Furber Sara TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 0 1 0 0 Chief Financial Officer Class A common stock 2023-03-15 4 A 0 18688 0 A 93764 D Class A common stock 2023-03-16 4 S 0 9824 72.8474 D 83940 D The reported transaction is an award of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock"). Subject to the reporting person's continued employment through the applicable vesting date, these RSUs are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 15, 2023. This amount includes (i) 16,672 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on March 31, 2023, (ii) 4,948 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on March 31, 2024, (iii) 3,619 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on March 31, 2025, (iv) 8,540 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, (v) 9,155 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on March 15, 2024 and March 15, 2025, (vi) 17,741 unvested RSUs in respect of Class A Common Stock that are scheduled to vest on January 1, 2025, and (vii) 18,688 unvested RSUs in respect of Class A Common Stock which are scheduled to vest as described in footnote 1 of this Form 4, in each case subject to the reporting person's continued employment through the applicable vesting date. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 13, 2023. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.86 to $74.23, 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 ranges set forth in this footnote. /s/ Scott Zucker, Attorney-in-Fact for Sara Furber 2023-03-17