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Maisey Simon

Disclosed activity across 1 company

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126129
SEC CIK
0001771402

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Tradeweb Markets Inc.TW · Entity 3211Managing Director, Corp. Dev.June 15, 2022June 16, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Tradeweb Markets Inc.

Report date June 15, 2022 · Filed June 16, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeDirect65,675 Reported balance After 2022-06-15 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2022-06-15 · Sale · Disposed 1,000 · Balance 65,675

F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 15, 2022 Filed Jun 16, 2022 00:01 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,000 $65.45 $65,450.00
Disclosure

SEC source: 0000895345-22-000493 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,675

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2 · balance_after: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
May 16, 2022 Filed May 17, 2022 01:03 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,000 $66.84 $66,840.00
Disclosure

SEC source: 0000895345-22-000458 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,675

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2 · balance_after: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
April 18, 2022 Filed Apr 20, 2022 22:50 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 682 $84.12 $57,371.41
Disclosure

SEC source: 0000895345-22-000414 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,675

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F4 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.91 to $84.31, inclusive.

F3 · balance_after: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
April 18, 2022 Filed Apr 20, 2022 22:50 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 318 $83.04 $26,407.99
Disclosure

SEC source: 0000895345-22-000414 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,357

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.85 to $83.26, 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 2 and 4 to this Form 4.

F3 · balance_after: This amount includes (i) 3,430 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 March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 18, 2022 Filed Mar 22, 2022 01:52 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 12 $0.00 $0.00
Disclosure

SEC source: 0000895345-22-000366 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,675

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 (i) 3,430 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 18, 2022 Filed Mar 22, 2022 01:52 UTC Tradeweb Markets Inc. TW · Entity 3211 Tax withholdingClass A common stock 1,613 $89.88 $144,976.44
Disclosure

SEC source: 0000895345-22-000366 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,663

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 (i) 3,430 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 16, 2022 Filed Mar 18, 2022 23:54 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 3 $0.00 $0.00
Disclosure

SEC source: 0000895345-22-000349 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,276

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 (i) 3,430 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 16, 2022 Filed Mar 18, 2022 23:54 UTC Tradeweb Markets Inc. TW · Entity 3211 Tax withholdingClass A common stock 913 $87.43 $79,823.59
Disclosure

SEC source: 0000895345-22-000349 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,273

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 (i) 3,430 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 01:08 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 800 $85.80 $68,641.52
Disclosure

SEC source: 0000895345-22-000316 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,574

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F4 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.46 to $86.06, inclusive.

F3 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, and (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 15, 2022 Filed Mar 17, 2022 01:08 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 200 $84.51 $16,901.00
Disclosure

SEC source: 0000895345-22-000316 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,374

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.32 to $84.69, 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 2 and 4 to this Form 4.

F3 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, and (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
March 15, 2022 Filed Mar 18, 2022 01:44 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 5,612 $0.00 $0.00
Disclosure

SEC source: 0000895345-22-000333 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · kind: The reported transaction is an award of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock"). Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these RSUs are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 15, 2022.

F2 · valueOwnedAfter: This amount includes (i) 3,430 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 3,883 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (v) 5,612 unvested RSUs in respect of Class A Common Stock which are scheduled to vest as described in footnote 1 to this Form 4, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
February 24, 2022 Filed Feb 25, 2022 22:56 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantStock Option (Right to Buy) · Derivative 45,290 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-22-000234 · form4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,318

Underlying: Class A common stock · 45,290 shares

Expires 2028-10-26

F3 · shares: 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 2021 which were deemed achieved on February 24, 2022.

F4 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof.

F5 · balance_after: This amount reflects the options reported on this Form 4 in addition to 81,028 options that were granted on October 26, 2018 and previously reported by the reporting person, all of which are currently vested and exercisable.

Read SEC document
February 24, 2022 Filed Feb 25, 2022 22:56 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 11,650 $0.00 $0.00
Disclosure

SEC source: 0000895345-22-000234 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,574

F1 · shares: The reported transaction reflects the acquisition of performance-based restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") that were granted to the reporting person on March 15, 2021, subject to the achievement of certain performance goals in respect of calendar year 2021. Those performance goals were deemed achieved at the maximum performance level on February 24, 2022. These RSUs remain unvested and are scheduled to vest on January 1, 2024, subject to the reporting person's continued employment through such date.

F2 · balance_after: This amount includes (i) 6,860 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, (iii) 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, and (iv) 11,650 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, in each case subject to the reporting person's continued employment through the applicable vesting date.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 22:52 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,000 $83.66 $83,660.00
Disclosure

SEC source: 0000895345-22-000205 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,924

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F2 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

Read SEC document
January 14, 2022 Filed Jan 19, 2022 00:52 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionStock Option (Right to Buy) · Derivative 6,000 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-22-000065 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,028

Underlying: Class A common stock · 6,000 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.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F4 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

Read SEC document
January 14, 2022 Filed Jan 19, 2022 00:52 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 11,000 $91.19 $1,003,105.40
Disclosure

SEC source: 0000895345-22-000065 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,924

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2021.

F3 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.86 to $91.56, 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 3 to this Form 4.

F2 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

Read SEC document
January 14, 2022 Filed Jan 19, 2022 00:52 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionClass A common stock 6,000 $20.59 $123,540.00
Disclosure

SEC source: 0000895345-22-000065 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,924

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 15, 2021.

F2 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

Read SEC document
January 10, 2022 Filed Jan 11, 2022 00:58 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $90.65 $67,987.50
Disclosure

SEC source: 0000895345-22-000058 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,924

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: This amount includes (i) 6,860 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

Read SEC document
January 03, 2022 Filed Jan 6, 2022 01:38 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 341 $0.00 $0.00
Disclosure

SEC source: 0000895345-22-000049 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,674

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 (i) 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, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

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January 03, 2022 Filed Jan 6, 2022 01:38 UTC Tradeweb Markets Inc. TW · Entity 3211 Tax withholdingClass A common stock 18,614 $100.14 $1,864,005.96
Disclosure

SEC source: 0000895345-22-000049 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,333

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 (i) 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, (ii) 20,580 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iii) 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.

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December 10, 2021 Filed Dec 14, 2021 01:35 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $95.44 $71,580.00
Disclosure

SEC source: 0000895345-21-001009 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,947

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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November 10, 2021 Filed Nov 12, 2021 22:22 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $95.22 $71,415.00
Disclosure

SEC source: 0000895345-21-000966 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,697

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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October 11, 2021 Filed Oct 13, 2021 00:43 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $83.67 $62,752.50
Disclosure

SEC source: 0000895345-21-000907 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,447

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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September 10, 2021 Filed Sep 10, 2021 20:25 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $87.50 $65,625.00
Disclosure

SEC source: 0000895345-21-000772 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,197

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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August 10, 2021 Filed Aug 10, 2021 22:38 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $88.82 $66,615.00
Disclosure

SEC source: 0000895345-21-000704 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,947

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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July 12, 2021 Filed Jul 13, 2021 00:47 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $87.02 $65,265.00
Disclosure

SEC source: 0000895345-21-000666 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,697

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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June 17, 2021 Filed Jun 22, 2021 01:00 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionStock Option (Right to Buy) · Derivative 70,000 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-21-000620 · form4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,028

Underlying: Class A common stock · 70,000 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.

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021.

F6 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

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June 17, 2021 Filed Jun 22, 2021 01:00 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 23,791 $84.82 $2,018,057.30
Disclosure

SEC source: 0000895345-21-000620 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,447

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021.

F5 · price: 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.

F3 · balance_after: 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.

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June 17, 2021 Filed Jun 22, 2021 01:00 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 46,209 $84.44 $3,901,777.06
Disclosure

SEC source: 0000895345-21-000620 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,238

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021.

F4 · price: 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.

F3 · balance_after: 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.

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June 17, 2021 Filed Jun 22, 2021 01:00 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionClass A common stock 70,000 $20.59 $1,441,300.00
Disclosure

SEC source: 0000895345-21-000620 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,447

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 May 18, 2021.

F2 · balance_after: 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.

F3 · balance_after: 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.

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June 10, 2021 Filed Jun 11, 2021 22:21 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $83.08 $62,310.00
Disclosure

SEC source: 0000895345-21-000547 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,167

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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May 10, 2021 Filed May 10, 2021 23:50 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $82.80 $62,100.00
Disclosure

SEC source: 0000895345-21-000509 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,917

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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April 12, 2021 Filed Apr 12, 2021 23:11 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 750 $78.74 $59,055.00
Disclosure

SEC source: 0000895345-21-000434 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,947

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · balance_after: 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.

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March 18, 2021 Filed Mar 23, 2021 01:22 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 7 $0.00 $0.00
Disclosure

SEC source: 0000895345-21-000382 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,697

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 (i) 39,604 unvested RSUs in respect of 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.

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March 18, 2021 Filed Mar 23, 2021 01:22 UTC Tradeweb Markets Inc. TW · Entity 3211 Tax withholdingClass A common stock 1,613 $72.75 $117,345.75
Disclosure

SEC source: 0000895345-21-000382 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,690

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 (i) 39,604 unvested RSUs in respect of 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.

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March 15, 2021 Filed Mar 18, 2021 01:22 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 5,825 $0.00 $0.00
Disclosure

SEC source: 0000895345-21-000349 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,303

F1 · kind: The reported transaction is an award of restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock"). Subject to the reporting person's continued employment with the issuer through the applicable vesting date, these RSUs are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 15, 2021.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of 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 as described in footnote 1 to this Form 4, in each case subject to the reporting person's continued employment through the applicable vesting date. In addition, this amount includes 3,430 RSUs which are fully vested as of the date hereof and will be settled in shares of Class A Common Stock on March 18, 2021.

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March 10, 2021 Filed Mar 12, 2021 01:56 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,050 $73.91 $77,606.03
Disclosure

SEC source: 0000895345-21-000294 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,478

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F4 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.23 to $74.08, inclusive.

F3 · balance_after: 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) 10,290 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) 20,580 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.

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March 10, 2021 Filed Mar 12, 2021 01:56 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,500 $72.55 $108,830.85
Disclosure

SEC source: 0000895345-21-000294 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,528

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.13 to $73.03, 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 2 and 4 to this Form 4.

F3 · balance_after: 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) 10,290 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) 20,580 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.

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February 24, 2021 Filed Feb 27, 2021 00:25 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantStock Option (Right to Buy) · Derivative 45,290 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-21-000228 · form4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,028

Underlying: Class A common stock · 45,290 shares

Expires 2028-10-26

F1 · shares: 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.

F2 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

F3 · balance_after: This amount reflects the options reported on this Form 4 in addition to 111,738 options that were granted on October 26, 2018 and previously reported by the reporting person, all of which are currently vested and exercisable.

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionStock Option (Right to Buy) · Derivative 7,500 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,738

Underlying: Class A common stock · 7,500 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 April 28, 2020.

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

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,750 $67.93 $118,882.05
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,028

F5 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F7 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.65 to $68.06, inclusive.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 800 $66.84 $53,471.04
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,778

F5 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F6 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.63 to $67.25, inclusive.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 4,080 $67.87 $276,905.93
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,578

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 28, 2020.

F4 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.54 to $68.12, inclusive.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 3,420 $66.86 $228,654.36
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,658

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 28, 2020.

F3 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.49 to $67.44, 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, and 6 to this Form 4.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 10, 2021 Filed Feb 11, 2021 23:32 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionClass A common stock 7,500 $20.59 $154,425.00
Disclosure

SEC source: 0000895345-21-000155 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,078

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 April 28, 2020.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 05, 2021 Filed Feb 10, 2021 01:56 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 20,580 $0.00 $0.00
Disclosure

SEC source: 0000895345-21-000134 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,578

F1 · shares: The reported transaction reflects the acquisition of performance-based restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") that were granted to the reporting person on March 17, 2020, subject to the achievement of certain performance goals in respect of calendar year 2020. Those performance goals were deemed achieved at the maximum performance level on February 5, 2021. These RSUs remain unvested and are scheduled to vest on January 1, 2023, subject to the reporting person's continued employment through such date.

F2 · balance_after: This amount includes (i) 39,604 unvested RSUs in respect of the issuer's Class A Common Stock which are scheduled to vest on January 1, 2022, (ii) 10,290 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) 20,580 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.

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February 01, 2021 Filed Feb 3, 2021 00:13 UTC Tradeweb Markets Inc. TW · Entity 3211 GrantClass A common stock 452 $0.00 $0.00
Disclosure

SEC source: 0000895345-21-000062 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,998

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 (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 and (ii) 10,290 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, in each case subject to the reporting person's continued employment through the applicable vesting date.

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February 01, 2021 Filed Feb 3, 2021 00:13 UTC Tradeweb Markets Inc. TW · Entity 3211 Tax withholdingClass A common stock 11,576 $60.79 $703,705.04
Disclosure

SEC source: 0000895345-21-000062 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,546

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 (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 and (ii) 10,290 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, in each case subject to the reporting person's continued employment through the applicable vesting date.

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January 15, 2021 Filed Jan 19, 2021 21:43 UTC Tradeweb Markets Inc. TW · Entity 3211 SaleClass A common stock 1,900 $64.70 $122,932.47
Disclosure

SEC source: 0000895345-21-000031 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,122

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2020.

F2 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.51 to $65.08, 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 2 to this Form 4.

F3 · balance_after: 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, and (ii) 10,290 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, in each case subject to the reporting person's continued employment through the applicable vesting date. This amount also includes 24,628 vested RSUs which will be settled on February 1, 2021.

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January 11, 2021 Filed Jan 12, 2021 21:50 UTC Tradeweb Markets Inc. TW · Entity 3211 Exercise / conversionStock Option (Right to Buy) · Derivative 7,500 $0.00 Strike: $20.59 $0.00
Disclosure

SEC source: 0000895345-21-000026 · form4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,238

Underlying: Class A common stock · 7,500 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 April 28, 2020.

F4 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof.

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