0001758730-23-000034.txt : 20230118 0001758730-23-000034.hdr.sgml : 20230118 20230118160803 ACCESSION NUMBER: 0001758730-23-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230113 FILED AS OF DATE: 20230118 DATE AS OF CHANGE: 20230118 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zucker Scott CENTRAL INDEX KEY: 0001771197 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 23534483 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 wf-form4_167407605813937.xml FORM 4 X0306 4 2023-01-13 0 0001758730 Tradeweb Markets Inc. TW 0001771197 Zucker Scott TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 0 1 0 0 Chief Admin. and Risk Officer Class A common stock 2023-01-13 4 M 0 1659 20.59 A 25961 D Class A common stock 2023-01-13 4 S 0 1659 72.0123 D 24302 D Class A common stock 2023-01-17 4 M 0 31555 20.59 A 55857 D Class A common stock 2023-01-17 4 S 0 31555 72.0415 D 24302 D Stock Option (Right to Buy) 20.59 2023-01-13 4 M 0 1659 0 D 2028-10-26 Class A common stock 1659.0 31555 D Stock Option (Right to Buy) 20.59 2023-01-17 4 M 0 31555 0 D 2028-10-26 Class A common stock 31555.0 0 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 3, 2022. This amount includes (i) 3,001 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 3,393 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iii) 10,180 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (iv) 4,478 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72 to $72.09, 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 footnotes 3 and 4 of this Form 4. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.29, inclusive. The option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker 2023-01-18