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Nasdaq · USD

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Tradeweb Markets Inc.

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Tapewire entity
3211
SEC CIK
0001758730
Parsed reports
580

Last 12 months

Inside the activity.

0 purchase rows · 23 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202609
Mar 202609
Apr 202601
May 202601
Jun 202601
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 04, 2020 Filed Feb 5, 2020 19:21 UTC
WARSHAW ROBERT JChief Financial Officer
SaleClass A common stock 16,331 $46.76 $763,647.36
Disclosure

SEC source: 0000895345-20-000070 · form4.xml · nonDerivative · entry 3

WARSHAW ROBERT J · CIK 0001278872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,628

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.11 to $46.99, 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 range set forth in this footnote.

F2 · balance_after: This amount includes 24,628 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 04, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
SaleClass A common stock 10,668 $46.73 $498,565.78
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 6

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,867

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.11 to $46.97, inclusive.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 04, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
SaleClass A common stock 19,743 $46.76 $923,174.78
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 6

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,038

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.11 to $46.99, inclusive.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 04, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
SaleClass A common stock 20,849 $46.79 $975,601.85
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · nonDerivative · entry 5

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,185

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.11 to $47.08, inclusive.

F2 · balance_after: This amount includes 207,713 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 04, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
SaleClass A common stock 11,639 $46.74 $543,982.42
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 6

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,867

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.11 to $47.08, inclusive.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:38 UTC
Maisey SimonManaging Director, Corp. Dev.
GrantClass A common stock 308 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000051 · form4.xml · nonDerivative · entry 2

Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,113

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 24,628 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:38 UTC
Maisey SimonManaging Director, Corp. Dev.
Tax withholdingClass A common stock 5,036 $46.18 $232,562.48
Disclosure

SEC source: 0000895345-20-000051 · form4.xml · nonDerivative · entry 1

Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,805

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 24,628 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:37 UTC
Bruni EnricoManaging Director, Europe/Asia
GrantClass A common stock 925 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000050 · form4.xml · nonDerivative · entry 2

Bruni Enrico · CIK 0001771187 · Managing Director, Europe/Asia

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,177

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 42,218 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:37 UTC
Bruni EnricoManaging Director, Europe/Asia
Tax withholdingClass A common stock 15,106 $46.18 $697,595.08
Disclosure

SEC source: 0000895345-20-000050 · form4.xml · nonDerivative · entry 1

Bruni Enrico · CIK 0001771187 · Managing Director, Europe/Asia

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,252

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 42,218 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 2,300 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · derivative · entry 11

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,683

Underlying: Class A common stock · 2,300 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F13 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
SaleClass A common stock 2,300 $47.02 $108,155.89
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 6

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,333

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.05, inclusive.

F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
Exercise / conversionClass A common stock 2,300 $20.59 $47,357.00
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 5

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,633

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
GrantClass A common stock 1,065 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 4

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,333

F7 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date.

Read SEC document
February 03, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
Tax withholdingClass A common stock 16,106 $46.18 $743,775.08
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 3

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,268

F5 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of RSUs in respect of Class A Common Stock held by the reporting person.

F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date.

Read SEC document
February 03, 2020 Filed Feb 5, 2020 19:21 UTC
WARSHAW ROBERT JChief Financial Officer
GrantClass A common stock 841 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000070 · form4.xml · nonDerivative · entry 2

WARSHAW ROBERT J · CIK 0001278872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,959

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 24,628 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 5, 2020 19:21 UTC
WARSHAW ROBERT JChief Financial Officer
Tax withholdingClass A common stock 14,865 $46.18 $686,465.70
Disclosure

SEC source: 0000895345-20-000070 · form4.xml · nonDerivative · entry 1

WARSHAW ROBERT J · CIK 0001278872 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,118

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 24,628 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · derivative · entry 7

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,232

Underlying: Class A common stock · 10,000 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F8 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
SaleClass A common stock 1,186 $46.91 $55,640.72
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 5

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,535

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.87 to $47.02, inclusive.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
SaleClass A common stock 8,814 $46.34 $408,441.64
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 4

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,721

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.87 to $46.85, 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 5, 6 and 7 to this Form 4.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
Exercise / conversionClass A common stock 10,000 $20.59 $205,900.00
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 3

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,535

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
GrantClass A common stock 701 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 2

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,535

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:19 UTC
Friedman DouglasGeneral Counsel and Secretary
Tax withholdingClass A common stock 9,674 $46.18 $446,745.32
Disclosure

SEC source: 0000895345-20-000069 · form4.xml · nonDerivative · entry 1

Friedman Douglas · CIK 0001771193 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,834

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
Exercise / conversionStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · derivative · entry 9

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,996,992

Underlying: Class A common stock · 50,000 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F10 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
SaleClass A common stock 9,165 $46.91 $429,889.82
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 5

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,781

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.83 to $47.02, inclusive.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
SaleClass A common stock 40,835 $46.33 $1,891,816.13
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 4

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,946

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.83 to $46.82, 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 5, 6, 7, 8 and 9 to this Form 4.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
Exercise / conversionClass A common stock 50,000 $20.59 $1,029,500.00
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 3

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,781

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
GrantClass A common stock 4,051 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 2

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,781

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:24 UTC
Hult WilliamDirector · President
Tax withholdingClass A common stock 84,813 $46.18 $3,916,664.34
Disclosure

SEC source: 0000895345-20-000072 · form4.xml · nonDerivative · entry 1

Hult William · CIK 0001771194 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,730

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 173,181 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 2,297 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · derivative · entry 9

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,686,592

Underlying: Class A common stock · 2,297 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F10 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
SaleClass A common stock 2,297 $47.01 $107,973.01
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · nonDerivative · entry 4

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,034

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.05, 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 5, 6, 7 and 8 to this Form 4.

F2 · balance_after: This amount includes 207,713 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
Exercise / conversionClass A common stock 2,297 $20.59 $47,295.23
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · nonDerivative · entry 3

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,331

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · balance_after: This amount includes 207,713 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
GrantClass A common stock 4,862 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · nonDerivative · entry 2

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,034

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 207,713 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:26 UTC
Olesky LeeDirector · Chief Executive Officer
Tax withholdingClass A common stock 101,776 $46.18 $4,700,015.68
Disclosure

SEC source: 0000895345-20-000073 · form4.xml · nonDerivative · entry 1

Olesky Lee · CIK 0001771195 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,172

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 207,713 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · derivative · entry 7

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,062

Underlying: Class A common stock · 10,000 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F8 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
SaleClass A common stock 1,483 $46.93 $69,592.00
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 5

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,506

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.87 to $47.02, inclusive.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
SaleClass A common stock 8,517 $46.32 $394,507.44
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 4

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,989

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.86 to $46.84, 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 5, 6 and 7 to this Form 4.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
Exercise / conversionClass A common stock 10,000 $20.59 $205,900.00
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 3

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,506

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
GrantClass A common stock 765 $0.00 $0.00
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 2

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,506

F3 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
February 03, 2020 Filed Feb 6, 2020 00:22 UTC
Zucker ScottChief Admin. and Risk Officer
Tax withholdingClass A common stock 10,553 $46.18 $487,337.54
Disclosure

SEC source: 0000895345-20-000071 · form4.xml · nonDerivative · entry 1

Zucker Scott · CIK 0001771197 · Chief Admin. and Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,741

F1 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") held by the reporting person.

F2 · balance_after: This amount includes 22,867 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through such date.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
OtherClass D common stock · Derivative 35,367 Not disclosed Not disclosed
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · derivative · entry 10

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 35,367 shares

Expires not disclosed

F11 · derivative.exercise_price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F12 · kind: Reflects the cancellation for no consideration of a number of shares of Class D Common Stock in connection with the exchange by the reporting person of an equal number of LLC Units for Class A Common Stock.

F11 · price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F11 · derivative.exercise_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F11 · derivative.expiration_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
Exercise / conversionNon-voting common units of Tradeweb Markets LLC · Derivative 35,367 Not disclosed Not disclosed
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · derivative · entry 9

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 35,367 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F10 · price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire.

F10 · derivative.exercise_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire.

F10 · derivative.expiration_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
SaleClass A common stock 35,367 $45.05 $1,593,392.99
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 2

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,374

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.23, 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, 8 and 9 to this Form 4.

F3 · balance_after: This amount includes 31,663 unvested restricted stock units ("RSUs") in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,711 vested RSUs which were settled on February 3, 2020.

Read SEC document
January 31, 2020 Filed Feb 4, 2020 22:36 UTC
Spencer JamesChief Technology Officer
Exercise / conversionClass A common stock 35,367 Not disclosed Not disclosed
Disclosure

SEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 1

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,741

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · shares: Represents shares of the issuer's Class A common stock ("Class A Common Stock") that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 10 to this Form 4.

F2 · price: Represents shares of the issuer's Class A common stock ("Class A Common Stock") that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 10 to this Form 4.

F3 · balance_after: This amount includes 31,663 unvested restricted stock units ("RSUs") in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,711 vested RSUs which were settled on February 3, 2020.

Read SEC document
January 28, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
OtherClass D common stock · Derivative 6,766 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 10

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,367

Underlying: Class A common stock · 6,766 shares

Expires not disclosed

F9 · derivative.exercise_price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F10 · kind: Reflects the cancellation for no consideration of a number of shares of Class D Common Stock in connection with the exchange by the reporting person of an equal number of LLC Units for Class A Common Stock.

F9 · price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F9 · derivative.exercise_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

F9 · derivative.expiration_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire.

Read SEC document
January 28, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
Exercise / conversionNon-voting common units of Tradeweb Markets LLC · Derivative 6,766 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 9

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,367

Underlying: Class A common stock · 6,766 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F8 · price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire.

F8 · derivative.exercise_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire.

F8 · derivative.expiration_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire.

Read SEC document
January 28, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
SaleClass A common stock 6,766 $45.02 $304,618.18
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 6

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,374

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.09, inclusive.

F2 · balance_after: This amount includes 31,664 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, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020.

Read SEC document
January 28, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
Exercise / conversionClass A common stock 6,766 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 5

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,140

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F5 · shares: Represents shares of Class A Common Stock that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 8 to this Form 4.

F5 · price: Represents shares of Class A Common Stock that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 8 to this Form 4.

F2 · balance_after: This amount includes 31,664 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, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020.

Read SEC document
January 27, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 39,256 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 8

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,983

Underlying: Class A common stock · 39,256 shares

Expires 2028-10-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F7 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
January 27, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
SaleClass A common stock 39,256 $44.54 $1,748,438.69
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 4

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,374

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.14 to $44.82, inclusive.

F2 · balance_after: This amount includes 31,664 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, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020.

Read SEC document
January 27, 2020 Filed Jan 29, 2020 00:58 UTC
Spencer JamesChief Technology Officer
Exercise / conversionClass A common stock 39,256 $20.59 $808,281.04
Disclosure

SEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 3

Spencer James · CIK 0001771296 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,630

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.

F2 · balance_after: This amount includes 31,664 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, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.