0000777001-05-000009.txt : 20120725
0000777001-05-000009.hdr.sgml : 20120725
20050215115137
ACCESSION NUMBER: 0000777001-05-000009
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050214
DATE AS OF CHANGE: 20050215
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: MARKETAXESS HOLDINGS INC
CENTRAL INDEX KEY: 0001278021
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 522230784
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-80409
FILM NUMBER: 05615579
BUSINESS ADDRESS:
STREET 1: 140 BROADWAY 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-831-6000
MAIL ADDRESS:
STREET 1: 140 BROADWAY 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: MARKETAXESS HOLDING INC
DATE OF NAME CHANGE: 20040129
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: BEAR STEARNS COMPANIES INC
CENTRAL INDEX KEY: 0000777001
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 133286161
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1130
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: ONE METROTECH NORTH
STREET 2: 9TH FL
CITY: BROOKLYN
STATE: NY
ZIP: 11201
BUSINESS PHONE: 3476439862
MAIL ADDRESS:
STREET 1: ONE METROTECH NORTH
STREET 2: 9TH FL.
CITY: BROOKLYN
STATE: NY
ZIP: 11201
SC 13G
1
mktx1.txt
SCHEDULE 13G
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )
MarketAxess Holdings Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
57060D108
(Cusip Number)
December 31, 2004
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[x] Rule 13d-1(b)
[_] Rule 13d-1(c)
[_] Rule 13d-1(d)
The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however,see the Notes).
CUSIP No. 57060D108 13G Page 2 of 6 Pages
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
The Bear Stearns Companies Inc.
IRS# 13-3286161
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See instructions)
(a) [ ]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES **
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,171,967*
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING **
_________________________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,171,967*
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,171,967*
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.84%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
HC,CO
________________________________________________________________________________
CUSIP No. 57060D108 13G Page 3 of 6 Pages
1. NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Bear Market Access Corp.
IRS# 13-4104634
________________________________________________________________________________
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See instructions)
(a) [ ]
(b) [_]
________________________________________________________________________________
3. SEC USE ONLY
________________________________________________________________________________
4. CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
________________________________________________________________________________
NUMBER OF 5. SOLE VOTING POWER
SHARES **
_________________________________________________________________
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 2,171,967*
_________________________________________________________________
EACH 7. SOLE DISPOSITIVE POWER
REPORTING ** _______________________________________________________
PERSON 8. SHARED DISPOSITIVE POWER
WITH 2,171,967*
________________________________________________________________________________
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,171,967*
________________________________________________________________________________
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
[_]
________________________________________________________________________________
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.84%
________________________________________________________________________________
12. TYPE OF REPORTING PERSON*
CO
________________________________________________________________________________
* Consists of 1,599,999 shares of common stock and 571,968 shares of common
stock issuable pursuant to warrants that are presently exercisable. The warrants
are issuable as common stock because the term of the warrants contains a
limitation on acquiring shares of common stock if the conversion or exercise
would result in the holder beneficially owning more than 9.84% of issuer's
outstanding shares of common stock.
CUSIP No. 57060D108 13G Page 4 of 6 Pages
Item 1(a). Name of Issuer is MarketAxess Holdings Inc. (the "Issuer").
Item 1(b). The principal executive office of the Issuer is located at 140
Broadway 42 Floor, New York, NY 10005
Item 2(a). The names of persons filing this statement are The Bear, Stearns
Companies Inc. and Bear Market Access Corp.
Item 2(b). The principal business office of the Filer is located at
383 Madison Avenue, New York, New York 10179.
Item 2(c). The Filer is incorporated in Delaware.
Item 2(d). This statement relates to shares of common stock of the Issuer.
Item 2(e). The CUSIP number of the Securities is 57060D108.
Item 3. If this statement is filed pursuant to 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under Section 15 of the Act
(15 U.S.C.78o). (Bear Stearns & Co. Inc.)
(b) [_] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [_] Insurance company as defined in Section 3(a)(19)
of the Act (15 U.S.C. 78c).
(d) [_] Investment company registered under Section 8 of
the Investment Company Act of 1940
(15 U.S.C. 80a-8).
(e) [_] An investment adviser in accordance with
240.13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in
accordance with 240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in
accordance with 240.13d-1(b)(1)(ii)(G)
( The Bear Stearns Companies Inc.);
(h) [_] A savings association as defined in Section 3(b)
of the Federal Deposit Insurance Act
(12 U.S.C. 1813);
(i) [_] A church plan that is excluded from the definition
of an investment company under Section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j) [_] Group, in accordance with 240.13d-1(b)(1)(ii)(J).
If this statement is filed pursuant to 240.13d-1(c), check this box. [_]
CUSIP No. 57060D108 13G Page 5 of 6 Pages
Item 4. Ownership As of January 31, 2004.
(a) 2,171,967*
(b) 9.84%
(c)(i) 2,171,967*
(ii) 0
(iii) 2,171,967*
(iv) 0
Item 5. Ownership of Five Percent or Less of a Class.
Not Applicable.
Item 6. Ownership of More Than Five Percent on Behalf of Another Person.
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
Bear Market Access Corp. is a wholly owned subsidiary of The Bear
Stearns Companies Inc.
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are
held in the ordinary course of business and were not acquired and
not held for the purpose of or with the effect of changing or
influencing the control of the Issuer of the Securities and were
not acquired and are not held in connection with or as a
participant in any transaction having such purpose or effect.
CUSIP No. 57060D108 13G Page 6 of 6 Pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: February 14, 2005
THE BEAR STEARNS COMPANIES INC.
By:________________________________
Name: Kenneth L. Edlow
Title: Secretary
BEAR MARKET ACCESS CORP.
By:________________________________
Name: Ronald M. Hersch
Title: President