Filing Details

Accession Number:
0001181431-13-060185
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-21 19:20:16
Reporting Period:
2013-11-19
Filing Date:
2013-11-21
Accepted Time:
2013-11-21 19:20:16
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1278021 Marketaxess Holdings Inc MKTX Security Brokers, Dealers & Flotation Companies (6211) 522230784
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1296468 Nicholas Themelis C/O Marketaxess Holdings Inc.
299 Park Avenue
New York NY 10171
Chief Information Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.003 Per Share Acquisiton 2013-11-19 20,818 $12.96 85,103 No 4 M Direct
Common Stock, Par Value $0.003 Per Share Disposition 2013-11-19 20,418 $68.39 64,685 No 4 S Direct
Common Stock, Par Value $0.003 Per Share Disposition 2013-11-19 400 $69.02 64,285 No 4 S Direct
Common Stock, Par Value $0.003 Per Share Acquisiton 2013-11-20 6,659 $12.96 70,944 No 4 M Direct
Common Stock, Par Value $0.003 Per Share Disposition 2013-11-20 6,659 $68.30 64,285 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Employee Stock Option (right to buy) Disposition 2013-11-19 20,818 $0.00 20,818 $12.96
Common Stock Employee Stock Option (right to buy) Disposition 2013-11-20 6,659 $0.00 6,659 $12.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
8,062 2017-01-12 No 4 M Direct
1,403 2017-01-12 No 4 M Direct
Footnotes
  1. These transactions were executed in multiple trades at prices ranging from $68.00 to $68.99. The price reflected above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
  2. These transactions were executed in multiple trades at prices ranging from $69.00 to $69.04. The price reflected above reflects the weighted average sales price.
  3. These transactions were executed in multiple trades at prices ranging from $68.00 to $68.73. The price reflected above reflects the weighted average sales price.
  4. The option is currently exercisable.
  5. The option is currently exercisable.