0000895345-21-000134.txt : 20210209 0000895345-21-000134.hdr.sgml : 20210209 20210209205603 ACCESSION NUMBER: 0000895345-21-000134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210205 FILED AS OF DATE: 20210209 DATE AS OF CHANGE: 20210209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Maisey Simon CENTRAL INDEX KEY: 0001771402 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 21608800 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 2021-02-05 0001758730 Tradeweb Markets Inc. TW 0001771402 Maisey Simon TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true Managing Director, Corp. Dev. Class A common stock 2021-02-05 4 A 0 20580 0 A 87578 D The reported transaction reflects the acquisition of performance-based restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") that were granted to the reporting person on March 17, 2020, subject to the achievement of certain performance goals in respect of calendar year 2020. Those performance goals were deemed achieved at the maximum performance level on February 5, 2021. These RSUs remain unvested and are scheduled to vest on January 1, 2023, subject to the reporting person's continued employment through such date. This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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, and (iii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, in each case subject to the reporting person's continued employment through the applicable vesting date. /s/ Scott Zucker, Attorney-in-Fact for Simon Maisey 2021-02-09