Home > Insider Trading > Filing (0001567619-20-001530)

Filing Details

Accession Number:: 0001567619-20-001530
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-01-24 19:22:15
Reporting Period:: 2020-01-22

Accepted Time:: 2020-01-24 19:22:15
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1758730	Tradeweb Markets Inc.	TW	Security & Commodity Brokers, Dealers, Exchanges & Services (6200)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1771195	Lee Olesky	Tradeweb Markets Inc. 1177 Avenue Of The Americas New York NY 10036	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2020-01-22	51,082	$20.59	450,030	No	4	M	Direct
Class A Common Stock	Disposition	2020-01-22	51,082	$45.28	398,948	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-01-22	50,662	$20.59	70,662	No	4	M	Indirect	See footnote
Class A Common Stock	Disposition	2020-01-22	50,662	$45.28	20,000	No	4	S	Indirect	See footnote
Class A Common Stock	Acquisiton	2020-01-23	4,930	$20.59	403,878	No	4	M	Direct
Class A Common Stock	Disposition	2020-01-23	4,930	$45.01	398,948	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-01-23	4,836	$20.59	24,836	No	4	M	Indirect	See footnote
Class A Common Stock	Disposition	2020-01-23	4,836	$45.01	20,000	No	4	S	Indirect	See footnote
Class A Common Stock	Acquisiton	2020-01-24	33,111	$20.59	432,059	No	4	M	Direct
Class A Common Stock	Disposition	2020-01-24	33,111	$45.01	398,948	No	4	S	Direct
Class A Common Stock	Acquisiton	2020-01-24	33,974	$20.59	53,974	No	4	M	Indirect	See footnote
Class A Common Stock	Disposition	2020-01-24	33,974	$45.01	20,000	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	S	Direct
No	4	M	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	M	Direct
No	4	S	Direct
No	4	M	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	M	Direct
No	4	S	Direct
No	4	M	Indirect	See footnote
No	4	S	Indirect	See footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-22	51,082	$0.00	51,082	$20.59
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-22	50,662	$0.00	50,662	$20.59
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-23	4,930	$0.00	4,930	$20.59
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-23	4,836	$0.00	4,836	$20.59
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-24	33,111	$0.00	33,111	$20.59
Class A Common Stock	Stock Option (Right to Buy)	Disposition	2020-01-24	33,974	$0.00	33,974	$20.59

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
3,726,930	2028-10-26	No	4	M	Direct
176,974	2028-10-26	No	4	M	Indirect
3,722,000	2028-10-26	No	4	M	Direct
172,138	2028-10-26	No	4	M	Indirect
3,688,889	2028-10-26	No	4	M	Direct
138,164	2028-10-26	No	4	M	Indirect

Footnotes

This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.
This amount includes 207,713 unvested restricted stock units in respect of the issuer's Class A common stock ("RSUs") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 191,235 vested RSUs which will be settled on February 3, 2020.
On April 8, 2019 the reporting person filed a Form 4 (the "April Form 4 Filing") erroneously reporting that he directly acquired 20,000 shares of the issuer's Class A common stock. The April Form 4 Filing should have reported that these shares of Class A common stock were acquired indirectly through The Lee Olesky 2019 Family Trust U/A/D March 21, 2019 ("The Family Trust"). We have revised this Form 4 filing accordingly.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.94, 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 4, 6, 7, 8, 9 and 10 to this Form 4.
The reporting person owns these securities through The Family Trust. The reporting person and his wife, as the co-trustees of The Family Trust, share the power to vote and invest the securities, but each disclaims beneficial ownership of such securities except to the extent of his or her pecuniary interest therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.94, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.11, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.10, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.13, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.17, inclusive.
This option is fully vested and exercisable as of the date hereof.