0001012975-19-000114.txt : 20190204 0001012975-19-000114.hdr.sgml : 20190204 20190204161322 ACCESSION NUMBER: 0001012975-19-000114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190131 FILED AS OF DATE: 20190204 DATE AS OF CHANGE: 20190204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Roupie Christophe Pierre Daniel CENTRAL INDEX KEY: 0001701203 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34091 FILM NUMBER: 19563817 MAIL ADDRESS: STREET 1: C/O MARKETAXESS HOLDINGS INC. STREET 2: 299 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10171 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 299 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 BUSINESS PHONE: 212-831-6000 MAIL ADDRESS: STREET 1: 299 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10171 FORMER COMPANY: FORMER CONFORMED NAME: MARKETAXESS HOLDING INC DATE OF NAME CHANGE: 20040129 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2019-01-31 0001278021 MARKETAXESS HOLDINGS INC MKTX 0001701203 Roupie Christophe Pierre Daniel C/O MARKETAXESS HOLDINGS INC. 299 PARK AVENUE NEW YORK NY 10171 0 1 0 0 Head of Europe & Asia Common Stock, par value $0.003 per share 2019-01-31 4 A 0 498 0 A 4352 D Common Stock, par value $0.003 per share 2019-01-31 4 A 0 3634 0 A 7986 D Common Stock, par value $0.003 per share 2019-01-31 4 F 0 119 214.77 D 7867 D Settlement of performance shares granted January 15, 2018 pursuant to the Issuer's 2012 Incentive Plan, which were settled based on the achievement by the Issuer of adjusted pre-tax operating income targets during the performance period and are payable in shares of restricted stock. The shares of restricted stock will vest in two equal installments on January 15, 2020 and January 15, 2021. Settlement of performance shares granted April 1, 2017 pursuant to the Issuer's 2012 Incentive Plan, which were settled based on the achievement by the Issuer of adjusted pre-tax operating income targets during the performance period and are payable in shares of restricted stock. Represents the surrender of shares to the Company to satisfy Mr. Roupie's tax withholding obligation upon the vesting of restricted stock previously granted to Mr. Roupie. /s/ Ori Solomon, as Attorney-in-Fact for Christophe Pierre Daniel Roupie 2019-02-04