0000895345-21-000620.txt : 20210621 0000895345-21-000620.hdr.sgml : 20210621 20210621210007 ACCESSION NUMBER: 0000895345-21-000620 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210617 FILED AS OF DATE: 20210621 DATE AS OF CHANGE: 20210621 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: 211032777 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 2021-06-17 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 2021-06-17 4 M 0 70000 20.59 A 154447 D Class A common stock 2021-06-17 4 S 0 46209 84.4376 D 108238 D Class A common stock 2021-06-17 4 S 0 23791 84.8244 D 84447 D Stock Option (Right to Buy) 20.59 2021-06-17 4 M 0 70000 0 D 2028-10-26 Class A common stock 70000 87028 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021. Total in this Column 5 is updated to correct an error in reporting the beneficial ownership of the reporting person in the Form 4 filed on May 10, 2021. This amount includes (i) 39,604 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) 6,860 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (iii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iv) 5,825 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 15, 2021, 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 $83.71 to $84.70, 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 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 $84.71 to $85.02, inclusive. This option is fully vested and exercisable as of the date hereof. /s/ Scott Zucker, Attorney-in-Fact for Simon Maisey 2021-06-21