0000895345-21-000932.txt : 20211105 0000895345-21-000932.hdr.sgml : 20211105 20211105181010 ACCESSION NUMBER: 0000895345-21-000932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211103 FILED AS OF DATE: 20211105 DATE AS OF CHANGE: 20211105 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: 211385962 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 2021-11-03 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 2021-11-03 4 M 0 153671 20.59 A 627128 D Class A common stock 2021-11-03 4 S 0 43757 90.8176 D 583371 D Class A common stock 2021-11-03 4 S 0 66135 91.7645 D 517236 D Class A common stock 2021-11-03 4 S 0 43779 92.6799 D 473457 D Class A common stock 2021-11-04 4 M 0 115286 20.59 A 588743 D Class A common stock 2021-11-04 4 S 0 99022 92.5621 D 489721 D Class A common stock 2021-11-04 4 S 0 16264 93.1802 D 473457 D Class A common stock 20000 I See footnote Stock Option (Right to Buy) 20.59 2021-11-03 4 M 0 153671 0 D 2028-10-26 Class A common stock 153671 394996 D Stock Option (Right to Buy) 20.59 2021-11-04 4 M 0 115286 0 D 2028-10-26 Class A common stock 115286 279710 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 6, 2021. 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) 34,302 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) 102,906 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iv) 29,665 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 $90.28 to $91.26, 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 7 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 $91.29 to $92.26, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.30 to $92.85, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.95 to $92.94, inclusive. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.95 to $93.53, 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. /s/ Scott Zucker, Attorney-in-Fact for Lee Olesky 2021-11-05