0000895345-20-001029.txt : 20201016 0000895345-20-001029.hdr.sgml : 20201016 20201016173607 ACCESSION NUMBER: 0000895345-20-001029 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201015 FILED AS OF DATE: 20201016 DATE AS OF CHANGE: 20201016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WARSHAW ROBERT J CENTRAL INDEX KEY: 0001278872 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 201244778 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 2020-10-15 0001758730 Tradeweb Markets Inc. TW 0001278872 WARSHAW ROBERT J TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true Chief Financial Officer Class A common stock 2020-10-15 4 M 0 16000 20.59 A 81115 D Class A common stock 2020-10-15 4 S 0 10144 58.3386 D 70971 D Class A common stock 2020-10-15 4 S 0 5856 58.7445 D 65115 D Stock Option (Right to Buy) 20.59 2020-10-15 4 M 0 16000 0 D 2028-10-26 Class A common stock 16000 34270 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 (i) 24,628 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, (ii) 22,004 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 10,483 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 17, 2020, in each case subject to the reporting person's continued employed 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 $57.65 to $58.64, 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 $58.65 to $58.98, inclusive. This option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker, Attorney-in-Fact for Robert Warshaw 2020-09-16