Form Type: 4

SEC EDGAR Link
Accession Number:0000895345-21-000508
Date:2021-05-06
Issuer: TRADEWEB MARKETS INC. (TW)
Original Submission Date:

Reporting Person:

FRIEDMAN DOUGLAS
TRADEWEB MARKETS INC.
1177 AVENUE OF THE AMERICAS NEW YORK, NY 10036

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
CLASS A COMMON STOCK 2021-05-06 M 300 a $20.59 65,405 direct
CLASS A COMMON STOCK 2021-05-06 S 300 d $82.54 65,105 direct
CLASS A COMMON STOCK 2021-05-07 M 9,700 a $20.59 74,805 direct
CLASS A COMMON STOCK 2021-05-07 S 9,700 d $82.67 65,105 direct
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) 20.59 2021-05-06 deemed execution date M 300 (d) 2028-10-26 class a common stock 300 $20.59 38,396 direct
STOCK OPTION (RIGHT TO BUY) 20.59 2021-05-07 deemed execution date M 9,700 (d) 2028-10-26 class a common stock 9,700 $20.59 28,696 direct
Footnotes
IDfootnote
f1 this transaction was effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on march 12,2021.
f2 this amount includes (i) 33,004 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) 6,003 unvested rsus in respect of class a common stock which are scheduled to vest in equal installments on each of march 17, 2022, and march 17, 2023, (iii) 18,008 unvested rsus in respect of class a common stock which are scheduled to vest on january 1, 2023, and (iv) 5,090 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 15, 2021, in each case subject to the reporting person's continued employment through the applicable vesting date.
f3 the price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $82.50 to $82.57, 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 and 4 to this form 4.
f4 the price in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $82.50 to $82.96, inclusive.
f5 the option is fully vested and exercisable as of the date hereof.

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