Filing Details

Accession Number:
0001209191-11-055100
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-08 21:28:34
Reporting Period:
2011-11-04
Filing Date:
2011-11-08
Accepted Time:
2011-11-08 21:28:34
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
1296468 Nicholas Themelis C/O Marketaxess Holdings Inc.
299 Park Avenue
New York NY 10171
Chief Information Officer 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 2011-11-04 36,354 $11.18 136,701 No 4 M Direct
Common Stock, Par Value $0.003 Per Share Acquisiton 2011-11-04 40,515 $12.96 177,216 No 4 M Direct
Common Stock, Par Value $0.003 Per Share Disposition 2011-11-04 71,908 $28.54 105,308 No 4 S Direct
Common Stock, Par Value $0.003 Per Share Disposition 2011-11-04 4,961 $29.40 100,347 No 4 S Direct
Common Stock, Par Value $0.003 Per Share Acquisiton 2011-11-07 5,605 $12.96 105,952 No 4 M Direct
Common Stock, Par Value $0.003 Per Share Disposition 2011-11-07 5,605 $28.78 100,347 No 4 S Direct
Common Stock, Par Value $0.003 Per Share Disposition 2011-11-07 15,596 $28.26 84,751 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 S Direct
No 4 M 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 2011-11-04 36,354 $0.00 36,354 $11.18
Common Stock Employee Stock Option (right to buy) Disposition 2011-11-04 40,515 $0.00 40,515 $12.96
Common Stock Employee Stock Option (right to buy) Disposition 2011-11-07 5,605 $0.00 5,605 $12.96
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2016-01-09 No 4 M Direct
25,605 2017-01-12 No 4 M Direct
20,000 2017-01-12 No 4 M Direct
Footnotes
  1. A portion of the proceeds of the sale of these shares was used to satisfy the exercise price and Mr. Themelis's tax withholding obligation upon the exercise of the stock options.
  2. These transactions were executed in multiple trades at prices ranging from $28.19 to $29.18. 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.
  3. These transactions were executed in multiple trades at prices ranging from $29.23 to $29.47. 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.
  4. These transactions were executed in multiple trades at prices ranging from $28.69 to $28.86. 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.
  5. These transactions were executed in multiple trades at prices ranging from $28.00 to $28.77. 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.
  6. The option was granted on January 9, 2006. One third of the shares of common stock underlying the option vested and became exercisable on the first anniversary of the date of grant and the remaining two thirds of the shares of common stock underlying the option vested and became exercisable in twenty four equal monthly installments commencing thirteen months from the date of grant.
  7. The option for 66,120 shares was granted on January 12, 2007. One third of the shares of common stock underlying the option vested and became exercisable on the first anniversary of the date of grant and the remaining shares of common stock underlying the option vested and became exercisable in twenty four equal monthly installments commencing on the thirteenth month from the date of grant.