0000895345-20-000176.txt : 20200214 0000895345-20-000176.hdr.sgml : 20200214 20200214184851 ACCESSION NUMBER: 0000895345-20-000176 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200212 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spencer James CENTRAL INDEX KEY: 0001771296 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 20622585 MAIL ADDRESS: STREET 1: TRADEWEB MARKETS INC. STREET 2: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tradeweb Markets Inc. CENTRAL INDEX KEY: 0001758730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 646-430-6000 MAIL ADDRESS: STREET 1: 1177 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 4 1 form4.xml X0306 4 2020-02-12 0001758730 Tradeweb Markets Inc. TW 0001771296 Spencer James TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true Chief Technology Officer Class A common stock 2020-02-12 4 M 0 74996 20.59 A 133329 D Class A common stock 2020-02-12 4 S 0 74996 47.1144 D 58333 D Class A common stock 2020-02-13 4 M 0 30321 20.59 A 88654 D Class A common stock 2020-02-13 4 S 0 30321 47.0652 D 58333 D Class A common stock 2020-02-14 4 M 0 1835 20.59 A 60168 D Class A common stock 2020-02-14 4 S 0 1835 50 D 58333 D Stock Option (Right to Buy) 20.59 2020-02-12 4 M 0 74996 0 D 2028-10-26 Class A common stock 74996 227583 D Stock Option (Right to Buy) 20.59 2020-02-13 4 M 0 30321 0 D 2028-10-26 Class A common stock 30321 197262 D Stock Option (Right to Buy) 20.59 2020-02-14 4 M 0 1835 0 D 2028-10-26 Class A common stock 1835 195427 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.63, 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.45, inclusive. This option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker, Attorney-in-Fact for James Spencer 2020-02-14