Filing Details
- Accession Number:
- 0000895345-21-000247
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-03 20:12:56
- Reporting Period:
- 2021-03-01
- Accepted Time:
- 2021-03-03 20:12:56
- 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 |
|---|---|---|---|---|---|---|---|
| 1807231 | Justin Peterson | Tradeweb Markets Inc. 1177 Avenue Of The Americas New York NY 10036 | Chief Technology Officer | No | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-03-01 | 50,000 | $20.59 | 125,793 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2021-03-01 | 27,106 | $72.06 | 98,687 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-03-01 | 3,768 | $73.06 | 94,919 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2021-03-01 | 19,126 | $73.92 | 75,793 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-01 | 50,000 | $0.00 | 50,000 | $20.59 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 132,124 | 2028-10-26 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2020.
- This amount includes (i) 35,204 unvested restricted stock units ("RSUs") in respect of the issuer's class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2022, (ii) 12,863 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 17, 2020, and (iii) 25,726 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, in each case subject to the reporting person's continued employment through the applicable vesting date.
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.47 to $72.46, 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 3, 4 and 5 to this Form 4.
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.47 to $73.43, inclusive.
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.47 to $74.33, inclusive.
- The option is fully vested and exercisable as of the date hereof.
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