Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-028477
Date:2020-05-08
Issuer: MARKETAXESS HOLDINGS INC (MKTX)
Original Submission Date:

Reporting Person:

MCVEY RICHARD M
C/O MARKETAXESS HOLDINGS INC.
55 HUDSON YARDS, 15TH FLOOR NEW YORK, NY 10001

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 M 1,133 a $88.25 952,077 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 M 58,000 a $88.25 1,010,077 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 F 21,169 d $484.32 988,908 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 500 d $476.72 988,408 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 1,430 d $477.39 986,978 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 800 d $478.52 986,178 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 2,000 d $479.64 984,178 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 1,000 d $480.62 983,178 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 2,200 d $481.78 980,978 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 3,302 d $482.76 977,676 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 4,542 d $483.82 973,134 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 3,199 d $484.62 969,935 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 300 d $485.79 969,635 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 1,498 d $487.26 968,137 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 1,701 d $488.40 966,436 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 824 d $489.26 965,612 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 S 1,704 d $490.22 963,908 direct
COMMON STOCK, PAR VALUE $0.003 PER SHARE 2020-05-08 0 $0.00 2,000 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 88.25 2020-05-08 deemed execution date M 1,133 (d) 2020-07-15 common stock 1,133 $88.25 0 direct
STOCK OPTION (RIGHT TO BUY) 88.25 2020-05-08 deemed execution date M 58,000 (d) 2020-07-15 common stock 58,000 $88.25 58,582 direct
Footnotes
IDfootnote
f1 the reporting person has elected to exercise and hold the shares at this time.
f2 this transaction was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f3 the transactions were executed in multiple trades at prices ranging from $476.00 to $476.99. 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.
f4 the transactions were executed in multiple trades at prices ranging from $477.00 to $477.88. 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.
f5 the transactions were executed in multiple trades at prices ranging from $478.10 to $478.90. 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.
f6 the transactions were executed in multiple trades at prices ranging from $479.14 to $480.12. 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.
f7 the transactions were executed in multiple trades at prices ranging from $480.16 to $481.05. 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.
f8 the transactions were executed in multiple trades at prices ranging from $481.17 to $482.13. 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.
f9 the transactions were executed in multiple trades at prices ranging from $482.30 to $483.27. 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.
f10 the transactions were executed in multiple trades at prices ranging from $483.30 to $484.24. 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.
f11 the transactions were executed in multiple trades at prices ranging from $484.31 to $485.22. 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.
f12 the transactions were executed in multiple trades at prices ranging from $485.41 to $486.14. 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.
f13 the transactions were executed in multiple trades at prices ranging from $486.72 to $487.65. 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.
f14 the transactions were executed in multiple trades at prices ranging from $487.85 to $488.81. 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.
f15 the transactions were executed in multiple trades at prices ranging from $488.87 to $489.83. 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.
f16 the transactions were executed in multiple trades at prices ranging from $489.92 to $490.81. 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.
f17 the stock options were fully exercisable.
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