Statement of Changes in Beneficial Ownership (4)

Date : 02/12/2020 @ 9:16PM
Source : Edgar (US Regulatory)
Stock : MarketAxess Holdings Inc (MKTX)
Quote : 342.78  -10.01 (-2.84%) @ 12:00AM
MarketAxess share price Chart
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Last Trade
Last $ 342.78 ◊ 0.00 (0.00%)

Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

McVey Richard M
2. Issuer Name and Ticker or Trading Symbol

MARKETAXESS HOLDINGS INC [ MKTX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chairman & CEO
(Last)          (First)          (Middle)

C/O MARKETAXESS HOLDINGS INC., 55 HUDSON YARDS, 15TH FLOOR
3. Date of Earliest Transaction (MM/DD/YYYY)

2/10/2020
(Street)

NEW YORK, NY 10001
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.003 per share 2/10/2020  S(1)  1210 D$335.67 (2)974734 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  3677 D$336.68 (3)971057 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  2103 D$337.66 (4)968954 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  5395 D$338.85 (5)963559 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  3151 D$339.76 (6)960408 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  5649 D$340.65 (7)954759 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  3713 D$341.80 (8)951046 D  
Common Stock, par value $0.003 per share 2/10/2020  S(1)  102 D$342.24 (9)950944 D  
Common Stock, par value $0.003 per share         2000 I By Immediate Family Members 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares

Explanation of Responses:
(1) This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
(2) The transactions were executed in multiple trades at prices ranging from $335.12 to $336.10. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(3) The transactions were executed in multiple trades at prices ranging from $336.18 to $337.16. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(4) The transactions were executed in multiple trades at prices ranging from $337.22 to $338.19. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(5) The transactions were executed in multiple trades at prices ranging from $338.24 to $339.15. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(6) The transactions were executed in multiple trades at prices ranging from $339.23 to $340.18. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(7) The transactions were executed in multiple trades at prices ranging from $340.22 to $341.19. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(8) The transactions were executed in multiple trades at prices ranging from $341.21 to $342.19. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
(9) The transactions were executed in multiple trades at prices ranging from $342.23 to $342.50. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
McVey Richard M
C/O MARKETAXESS HOLDINGS INC.
55 HUDSON YARDS, 15TH FLOOR
NEW YORK, NY 10001
X
Chairman & CEO

Signatures
/s/ Jason Edelstein, as Attorney-in-Fact for Richard M. McVey2/12/2020
**Signature of Reporting PersonDate

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