Filing Details
- Accession Number:
- 0001012975-18-001211
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-13 17:02:56
- Reporting Period:
- 2018-11-08
- Accepted Time:
- 2018-11-13 17:02:56
- 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 | Disposition | 2018-11-08 | 5,929 | $203.95 | 1,058,917 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-11-08 | 5,730 | $205.14 | 1,053,187 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-11-08 | 5,340 | $205.98 | 1,047,847 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-11-08 | 1,400 | $207.25 | 1,046,447 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.003 Per Share | Disposition | 2018-11-08 | 1,601 | $207.95 | 1,044,846 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | 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) | Acquisiton | 2018-11-08 | 69,113 | $0.00 | 69,113 | $257.78 |
| Common Stock | Employee Stock Option (right to buy) | Acquisiton | 2018-11-08 | 79,411 | $0.00 | 79,411 | $278.40 |
| Common Stock | Performance Shares | Acquisiton | 2018-11-08 | 17,942 | $0.00 | 17,942 | $0.00 |
| Common Stock | Performance Shares | Acquisiton | 2018-11-08 | 19,800 | $0.00 | 19,800 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 69,113 | 2023-11-08 | 2024-05-08 | No | 4 | A | Direct |
| 79,411 | 2023-11-08 | 2024-05-08 | No | 4 | A | Direct |
| 17,942 | No | 4 | A | Direct | ||
| 19,800 | No | 4 | A | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The transaction was executed in multiple trades at prices ranging from $203.47 to $204.45. 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 $204.63 to $205.585. 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 $205.65 to $206.48. 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 $206.70 to $207.70. 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 $207.74 to $208.10. 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.
- Each performance share represents a contingent right to receive one share of the Company's common stock. 17,942 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of the common stock of $257.78, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from November 8, 2018 to November 8, 2023.
- Each performance share represents a contingent right to receive one share of the Company's common stock. 19,800 shares of the Company's common stock will be awarded subject to the Company's attainment of an average price per share of the common stock of $278.40, calculated based on the closing price of the common stock over any twenty consecutive trading days during the period from November 8, 2018 to November 8, 2023.
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