-----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, VWNOlceYyAQwbd6Q5tW2+i/Ltub4Rxi/byQkUlOtfLP5yuIjxA2wsvWhR+AracMV ZWtvwNILTe3MYHaI8wxOng== 0001209191-08-045554.txt : 20080805 0001209191-08-045554.hdr.sgml : 20080805 20080805173449 ACCESSION NUMBER: 0001209191-08-045554 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080801 FILED AS OF DATE: 20080805 DATE AS OF CHANGE: 20080805 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rohatyn Nicolas S CENTRAL INDEX KEY: 0001296967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34091 FILM NUMBER: 08992489 BUSINESS ADDRESS: BUSINESS PHONE: 212.984.2901 MAIL ADDRESS: STREET 1: C/O THE ROHATYN GROUP STREET 2: 280 PARK AVENUE 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10128 4 1 c74321_4.xml MAIN DOCUMENT DESCRIPTION X0303 4 2008-08-01 0001278021 MARKETAXESS HOLDINGS INC MKTX 0001296967 Rohatyn Nicolas S C/O MARKETAXESS HOLDINGS INC. 140 BROADWAY, 42ND FLOOR NEW YORK NY 10005 1 0 0 0 Common Stock, par value $0.003 per share 2008-08-01 4 A 0 4225 A 16725 D Non-Qualified Stock Option (right to buy) 9.72 2008-08-01 4 A 0 4225 0 A 2018-08-01 Common Stock 4225 4225 D Represents a grant of restricted stock pursuant to the Company's 2004 Stock Incentive Plan (Amended and Restated Effective April 28, 2006). The option was granted on August 1, 2008. The option vests and becomes exercisable in two equal installments on November 30, 2008 and May 31, 2009, respectively. /s/ Ori Solomon, as Attorney-in-Fact for Nicolas S. Rohatyn 2008-08-05 -----END PRIVACY-ENHANCED MESSAGE-----