Filing Details
- Accession Number:
- 0001209191-10-053483
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-05 13:00:00
- Reporting Period:
- 2010-11-04
- Filing Date:
- 2010-11-05
- Accepted Time:
- 2010-11-05 18:00:42
- 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 |
|---|---|---|---|---|---|---|---|
| 1296461 | B N James Rucker | C/O Marketaxess Holdings Inc. 140 Broadway, 42Nd Floor New York NY 10005 | See Remarks | 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 | 2010-11-04 | 5,557 | $3.60 | 158,122 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Acquisiton | 2010-11-04 | 8,708 | $2.70 | 166,830 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2010-11-04 | 14,265 | $18.75 | 152,565 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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, Par Value $0.003 Per Share | Stock Option (right to buy) | Disposition | 2010-11-04 | 5,557 | $0.00 | 5,557 | $3.60 |
| Common Stock, Par Value $0.003 Per Share | Stock Option (right to buy) | Disposition | 2010-11-04 | 374 | $0.00 | 374 | $2.70 |
| Common Stock, Par Value $0.003 Per Share | Stock Option (right to buy) | Disposition | 2010-11-04 | 8,334 | $0.00 | 8,334 | $2.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 55,560 | 2011-06-15 | No | 4 | M | Direct | |
| 0 | 2012-03-31 | No | 4 | M | Direct | |
| 0 | 2012-12-30 | No | 4 | M | Direct |
Footnotes
- These transactions were executed in multiple trades at prices ranging from $18.60 to $19.02. The price reported 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 stock option is fully exercisable.
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