Statement of Changes in Beneficial Ownership (4)
May 12 2020 - 3:10PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Themelis Nicholas |
2. Issuer Name and Ticker or Trading Symbol
MARKETAXESS HOLDINGS INC
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MKTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Information Officer |
(Last)
(First)
(Middle)
C/O MARKETAXESS HOLDINGS INC., 55 HUDSON YARDS, 15TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2020 |
(Street)
NEW YORK, NY 10001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.003 per share | 5/8/2020 | | S(1) | | 855 | D | $476.85 (2) | 37337 | D | |
Common Stock, par value $0.003 per share | 5/8/2020 | | S(1) | | 988 | D | $477.92 (3) | 36349 | D | |
Common Stock, par value $0.003 per share | 5/8/2020 | | S(1) | | 438 | D | $478.86 (4) | 35911 | D | |
Common Stock, par value $0.003 per share | 5/8/2020 | | S(1) | | 314 | D | $479.66 (5) | 35597 | D | |
Common Stock, par value $0.003 per share | 5/8/2020 | | S(1) | | 1405 | D | $482.84 (6) | 34192 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | The transactions were executed in multiple trades at prices ranging from $476.27 to $477.21. 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. |
(3) | The transactions were executed in multiple trades at prices ranging from $477.39 to $478.37. 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. |
(4) | The transactions were executed in multiple trades at prices ranging from $478.44 to $479.34. 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. |
(5) | The transactions were executed in multiple trades at prices ranging from $479.44 to $480.24. 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. |
(6) | The transactions were executed in multiple trades at prices ranging from $482.83 to $483.04. 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Themelis Nicholas C/O MARKETAXESS HOLDINGS INC. 55 HUDSON YARDS, 15TH FLOOR NEW YORK, NY 10001 |
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| Chief Information Officer |
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Signatures
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/s/ Jason Edelstein, as Attorney-in-Fact for Nicholas Themelis | | 5/12/2020 |
**Signature of Reporting Person | Date |
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