0000895345-21-000060.txt : 20210202 0000895345-21-000060.hdr.sgml : 20210202 20210202191043 ACCESSION NUMBER: 0000895345-21-000060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210202 DATE AS OF CHANGE: 20210202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Friedman Douglas CENTRAL INDEX KEY: 0001771193 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 21583403 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 2021-02-01 0001758730 Tradeweb Markets Inc. TW 0001771193 Friedman Douglas TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true General Counsel and Secretary Class A common stock 2021-02-01 4 F 0 9325 60.79 D 58550 D Class A common stock 2021-02-01 4 A 0 387 0 A 58937 D Class A common stock 2021-02-01 4 S 0 1300 60.9817 D 57637 D Class A common stock 2021-02-01 4 S 0 2650 61.8706 D 54987 D Class A common stock 2021-02-01 4 S 0 2772 63.0057 D 52215 D Class A common stock 2021-02-01 4 S 0 7207 64.1949 D 45008 D Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person. This amount includes (i) 33,004 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022 and (ii) 9,004 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 employment through the applicable vesting date. Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2020. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.40 to $61.39, 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 5, 6, 7 and 8 to this Form 4. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.43 to $62.42, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.44 to $63.42, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.52 to $64.50, inclusive. /s/ Scott Zucker, Attorney-in-Fact for Douglas Friedman 2021-02-02