-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Jwz8QYFo/jEirVByp1NtqdvbYndtlVgjaTgg9m1Eq/PLwADrkcQfRjJc0Z0oCyJe cj6w/qLyKEoHROItYdMPRA== 0000950123-11-008774.txt : 20110203 0000950123-11-008774.hdr.sgml : 20110203 20110203170306 ACCESSION NUMBER: 0000950123-11-008774 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110203 DATE AS OF CHANGE: 20110203 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: McVey Richard M CENTRAL INDEX KEY: 0001296466 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O MARKETAXESS HOLDINGS INC. STREET 2: 140 BROADWAY, 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80409 FILM NUMBER: 11570818 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 SC 13G/A 1 c11802sc13gza.htm SCHEDULE 13G/A Schedule 13G/A

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

MarketAxess Holdings Inc.
(Name of Issuer)
Common Stock, par value $0.003 per share
(Title of Class of Securities)
57060D 10 8
(CUSIP Number)
December 31, 2010
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     o Rule 13d-1(c)

     þ 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 (“Act”) 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.
 
57060D 10 8 
   
 
     
 

 

           
1   NAMES OF REPORTING PERSONS
Richard M. McVey
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  United States of America
       
  5   SOLE VOTING POWER
     
NUMBER OF   2,189,150 shares of Common Stock
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   None
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   2,189,150 shares of Common Stock
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    None
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,189,150 shares of Common Stock (See Item 4(a))
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  Approximately 6.7% as of December 31, 2010 (based on the 30,927,791 shares of Common Stock reported to be issued and outstanding as of October 27, 2010 on the Issuer’s Quarterly Report on Form 10-Q filed on October 28, 2010). (See Item 4).
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  IN — Individual

Page 2 of 6 Pages


 

Item 1.
  (a)   Name of Issuer
      MarketAxess Holdings Inc.
  (b)   Address of Issuer’s Principal Executive Offices:
      299 Park Avenue, 10th Floor
New York, NY 10171
Item 2.
  (a)   Name of Persons Filing:
      Richard M. McVey
  (b)   Address of Principal Business Office:
      c/o MarketAxess Holdings Inc.
299 Park Avenue, 10th Floor
New York, NY 10171
  (c)   Citizenship:
      United States of America
  (d)   Title of Class of Securities:
      Common Stock, par value $0.003 per share
  (e)   CUSIP Number:
      57060D 10 8
Item 3.   If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a:
         
(a)
  o   Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 
       
(b)
  o   Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
 
       
(c)
  o   Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
 
       
(d)
  o   Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
 
       
(e)
  o   An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

Page 3 of 6 Pages


 

         
(f)
  o   An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
       
(g)
  o   A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
       
(h)
  o   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
       
(i)
  o   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)
  o   Group, in accordance with §240.13d-1(b)(1)(ii)(J).
          If this statement is filed pursuant to Rule 13d-1(c), check this box o
 
Item 4.   Ownership
  (a)   Amount Beneficially Owned
      2,189,150 shares of Common Stock (includes 1,589,774 shares of Common Stock issuable pursuant to employee stock options that are or become exercisable within sixty days of December 31, 2010).
  (b)   Percent of Class
      Approximately 6.7% as of December 31, 2010 (based on the 30,927,791 shares of Common Stock reported to be issued and outstanding as of October 27, 2010 on the Issuer’s Quarterly Report on Form 10-Q filed on October 28, 2010).
  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or direct the vote:
      2,189,150 shares of Common Stock.
  (ii)   Shared power to vote or direct the vote:
      None.

 

Page 4 of 6 Pages


 

  (iii)   Sole power to dispose or to direct the disposition of:
      2,189,150 shares of Common Stock.
  (iv)   Shared power to dispose or to direct the disposition of:
      None.
Item 5.   Ownership of Five Percent or Less of a Class
      Inapplicable
Item 6.   Ownership of More than Five Percent on Behalf of Another Person
      Inapplicable
Item 7.   Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
      Inapplicable
Item 8.   Identification and Classification of Members of the Group
      Inapplicable
Item 9.   Notice of Dissolution of the Group
      Inapplicable
Item 10.   Certification
      Inapplicable

 

Page 5 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.
         
  February 3, 2011  
  Date  
     
     
   /s/ Richard M. McVey  
  Signature   
 
     
  Richard M. McVey    
  Name/Title   
     
 

 

Page 6 of 6 Pages

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