Filing Details
- Accession Number:
- 0001012975-18-001150
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-31 16:30:43
- Reporting Period:
- 2018-10-29
- Accepted Time:
- 2018-10-31 16:30:43
- 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 |
|---|---|---|---|---|---|---|---|
| 1296466 | M Richard Mcvey | C/O Marketaxess Holdings Inc. 299 Park Avenue New York NY 10171 | Chairman & Ceo | Yes | 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 | 2018-10-29 | 10,298 | $21.56 | 1,054,986 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Acquisiton | 2018-10-29 | 12,202 | $21.56 | 1,067,188 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-10-29 | 12,202 | $209.63 | 1,054,986 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.003 Per Share | Acquisiton | 2018-10-30 | 9,860 | $21.56 | 1,064,846 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Acquisiton | 2018-10-30 | 11,640 | $21.56 | 1,076,486 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-10-30 | 11,640 | $214.34 | 1,064,846 | 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 | |
| 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 | Employee Stock Option (right to buy) | Disposition | 2018-10-29 | 10,298 | $0.00 | 10,298 | $21.56 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-10-29 | 12,202 | $0.00 | 12,202 | $21.56 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-10-30 | 9,860 | $0.00 | 9,860 | $21.56 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2018-10-30 | 11,640 | $0.00 | 11,640 | $21.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 167,671 | 2021-01-19 | No | 4 | M | Direct | |
| 155,469 | 2021-01-19 | No | 4 | M | Direct | |
| 145,609 | 2021-01-19 | No | 4 | M | Direct | |
| 133,969 | 2021-01-19 | No | 4 | M | Direct |
Footnotes
- The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $21.56 per share.
- The transaction was executed in multiple trades at prices ranging from $209.25 to $210.10. 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 $213.95 to $214.645. 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 option was granted on January 19, 2011. The shares underlying the option vested at the following times: 12.5% on January 15, 2012, 25% on each of January 15, 2013, 2014 and 2015, and 12.5% on January 15, 2016.
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