0000895345-21-000226.txt : 20210226 0000895345-21-000226.hdr.sgml : 20210226 20210226192205 ACCESSION NUMBER: 0000895345-21-000226 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Olesky Lee CENTRAL INDEX KEY: 0001771195 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38860 FILM NUMBER: 21692862 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 2021-02-24 0001758730 Tradeweb Markets Inc. TW 0001771195 Olesky Lee TRADEWEB MARKETS INC. 1177 AVENUE OF THE AMERICAS NEW YORK NY 10036 true true Chief Executive Officer Class A common stock 2021-02-24 4 M 0 139408 20.59 A 704373 D Class A common stock 2021-02-24 4 S 0 55972 70.2146 D 648401 D Class A common stock 2021-02-24 4 S 0 83436 70.6813 D 564965 D Class A common stock 2021-02-25 4 M 0 191089 20.59 A 756054 D Class A common stock 2021-02-25 4 S 0 6500 70.9538 D 749554 D Class A common stock 2021-02-25 4 S 0 184589 71.667 D 564965 D Class A common stock 2021-02-25 4 S 0 112080 72.2528 D 452885 D Class A common stock 20000 I See footnote Stock Option (Right to Buy) 20.59 2021-02-24 4 M 0 139408 0 D 2028-10-26 Class A common stock 139408 1125388 D Stock Option (Right to Buy) 20.59 2021-02-24 4 A 0 845411 0 A 2028-10-26 Class A common stock 845411 1970799 D Stock Option (Right to Buy) 20.59 2021-02-25 4 M 0 191089 0 D 2028-10-26 Class A common stock 191089 1779710 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 12, 2020. This amount includes (i) 298,526 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, 2022, (ii) 51,453 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) 102,906 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 $70.49, 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, 5, 6 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 $70.50 to $71.17, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.14 to $71.13, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.14 to $72.07, inclusive. This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2020. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.59, inclusive. The reporting person owns these securities through The Lee Olesky 2019 Family Trust U/A/D March 21, 2019 ("The Family Trust"). The reporting person and his wife, as the co-trustees of The Family Trust, share the power to vote and invest the securities, but each disclaims beneficial ownership of such securities except to the extent of his or her pecuniary interest therein. The option is fully vested and exercisable as of the date hereof. The reported transaction reflects the acquisition of options that were granted to the reporting person on October 26, 2018, subject to the achievement of certain performance goals in respect of calendar year 2020 which were deemed achieved on February 24, 2021. This amount reflects the options reported on this Form 4 in addition to 1,125,388 options that were granted on October 26, 2018 and previously reported by the reporting person, all of which are currently vested and exercisable. /s/ Scott Zucker, Attorney-in-Fact for Lee Olesky 2021-02-26