0000895345-21-000211.txt : 20210223 0000895345-21-000211.hdr.sgml : 20210223 20210223203846 ACCESSION NUMBER: 0000895345-21-000211 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210219 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hult William CENTRAL INDEX KEY: 0001771194 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 21668080 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 2021-02-19 0001758730 Tradeweb Markets Inc. TW 0001771194 Hult William TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true true President Class A common stock 2021-02-19 4 M 0 4272 20.59 A 394650 D Class A common stock 2021-02-19 4 S 0 4272 69.5469 D 390378 D Class A common stock 2021-02-22 4 M 0 105208 20.59 A 495586 D Class A common stock 2021-02-22 4 S 0 105208 69.6852 D 390378 D Class A common stock 2021-02-23 4 M 0 40520 20.59 A 430898 D Class A common stock 2021-02-23 4 S 0 40520 69.6612 D 390378 D Stock Option (Right to Buy) 20.59 2021-02-19 4 M 0 4272 0 D 2028-10-26 Class A common stock 4272 705618 D Stock Option (Right to Buy) 20.59 2021-02-22 4 M 0 105208 0 D 2028-10-26 Class A common stock 105208 600410 D Stock Option (Right to Buy) 20.59 2021-02-23 4 M 0 40520 0 D 2028-10-26 Class A common stock 40520 559890 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 4, 2020. This amount includes (i) 249,102 unvested performance-based 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, 2022, (ii) 43,092 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, and (iii) 86,184 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. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.50 to $69.91, 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, 4 and 5 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 $69.50 to $70.11, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.50 to $70.00, inclusive. This option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker, Attorney-in-Fact for William Hult 2021-02-23