Filing Details
- Accession Number:
- 0001012975-17-000488
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-12 17:48:19
- Reporting Period:
- 2017-06-08
- Filing Date:
- 2017-06-12
- Accepted Time:
- 2017-06-12 17:48:19
- 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 |
|---|---|---|---|---|---|---|---|
| 1704380 | M Kevin Mcpherson | C/O Marketaxess Holdings Inc. 299 Park Avenue New York NY 10171 | Global Head Of Sales | 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 | Acquisiton | 2017-06-08 | 5,000 | $10.93 | 90,929 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-08 | 2,495 | $199.34 | 88,434 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-08 | 1,805 | $200.27 | 86,629 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-08 | 700 | $201.44 | 85,929 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-06-12 | 4,286 | $10.93 | 90,215 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-06-12 | 1,026 | $202.18 | 89,189 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-12 | 3,053 | $203.13 | 86,136 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-12 | 207 | $204.34 | 85,929 | 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 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | 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 | 2017-06-08 | 5,000 | $0.00 | 5,000 | $10.93 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-06-12 | 4,286 | $0.00 | 4,286 | $10.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,286 | 2018-01-15 | No | 4 | M | Direct | |
| 5,000 | 2018-01-15 | No | 4 | M | Direct |
Footnotes
- The transaction was executed in multiple trades at prices ranging from $199.01 to $199.87. The price 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 transaction was executed in multiple trades at prices ranging from $200.02 to $200.67. The price 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 transaction was executed in multiple trades at prices ranging from $201.17 to $201.61. The price 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 transaction was executed in multiple trades at prices ranging from $201.835 to $202.57. The price 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 transaction was executed in multiple trades at prices ranging from $202.915 to $203.63. The price 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 transaction was executed in multiple trades at prices ranging from $204.30 to $204.38. The price 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 employee stock option is fully exercisable.
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