0001758730-23-000160.txt : 20230915 0001758730-23-000160.hdr.sgml : 20230915 20230915163123 ACCESSION NUMBER: 0001758730-23-000160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230914 FILED AS OF DATE: 20230915 DATE AS OF CHANGE: 20230915 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Peterson Justin CENTRAL INDEX KEY: 0001807231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 231259164 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 wk-form4_1694809873.xml FORM 4 X0508 4 2023-09-14 0 0001758730 Tradeweb Markets Inc. TW 0001807231 Peterson Justin TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 0 1 0 0 Chief Technology Officer 1 Class A common stock 2023-09-14 4 M 0 20000 20.59 A 72760 D Class A common stock 2023-09-14 4 S 0 20000 84.3477 D 52760 D Stock Option (Right to Buy) 20.59 2023-09-14 4 M 0 20000 0 D 2028-10-26 Class A common stock 20000 23550 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2023. This amount includes (i) 3,371 RSUs in respect of Class A Common Stock which are scheduled to vest on March 15, 2024, (ii) 14,832 RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, (iii) 6,409 RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on March 15, 2024 and March 15, 2025, (iv) 12,419 unvested RSUs in respect of Class A Common Stock that are scheduled to vest on January 1, 2025, and (v) 13,729 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on March 15, 2024, March 15, 2025 and March 15, 2026, in each case subject to the reporting person's continued employment through the applicable vesting date. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.01 to $84.61, 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 this footnote. The option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker, Attorney-in-Fact for Justin Peterson 2023-09-15