Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Tradeweb Markets Inc.TW · Entity 3211 | Managing Director, Corp. Dev. | June 15, 2022 | June 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 65,675 |
Reported balance
After 2022-06-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 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
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 11, 2021 Filed Jan 12, 2021 21:50 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 7,500 | $64.78 | $485,829.75 |
DisclosureSEC source: 0000895345-21-000026 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $64.34 to $65.32, 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) 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. Read SEC document |
| January 11, 2021 Filed Jan 12, 2021 21:50 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-21-000026 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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 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. Read SEC document |
| December 10, 2020 Filed Dec 11, 2020 01:27 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-001143 · form4.xml · derivative · entry 4 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,738 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. F5 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof. Read SEC document |
| December 10, 2020 Filed Dec 11, 2020 01:27 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 1,561 | $64.73 | $101,035.88 |
DisclosureSEC source: 0000895345-20-001143 · form4.xml · nonDerivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $64.60 to $64.93, inclusive. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| December 10, 2020 Filed Dec 11, 2020 01:27 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 5,939 | $641,728.00 | $3,811,222,592.00 |
DisclosureSEC source: 0000895345-20-001143 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,583 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 $63.53 to $64.52, 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 and 4 to this Form 4. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| December 10, 2020 Filed Dec 11, 2020 01:27 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-001143 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-001084 · form4.xml · derivative · entry 4 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,238 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. F5 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 2,859 | $58.09 | $166,076.74 |
DisclosureSEC source: 0000895345-20-001084 · form4.xml · nonDerivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $57.98 to $58.29, inclusive. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 4,641 | $57.51 | $266,897.41 |
DisclosureSEC source: 0000895345-20-001084 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,881 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 $56.97 to $57.96, 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 and 4 to this Form 4. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| November 10, 2020 Filed Nov 12, 2020 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-001084 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 23:43 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000967 · form4.xml · derivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,738 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. F4 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 23:43 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 7,500 | $59.75 | $448,161.75 |
DisclosureSEC source: 0000895345-20-000967 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $59.17 to $60.10, 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 23:43 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-000967 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 19:57 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000904 · form4.xml · derivative · entry 5 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,238 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. F6 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 19:57 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 200 | $55.25 | $11,050.00 |
DisclosureSEC source: 0000895345-20-000904 · form4.xml · nonDerivative · entry 4 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 28, 2020. F5 · price: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.20 to $55.30, inclusive. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 19:57 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 3,601 | $54.61 | $196,662.85 |
DisclosureSEC source: 0000895345-20-000904 · form4.xml · nonDerivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,222 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 $54.18 to $55.17, inclusive. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 19:57 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 3,699 | $53.50 | $197,886.51 |
DisclosureSEC source: 0000895345-20-000904 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,823 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 $53.13 to $54.10, 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 5 to this Form 4. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| September 10, 2020 Filed Sep 11, 2020 19:57 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-000904 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000877 · form4.xml · derivative · entry 5 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,738 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. F5 · derivative.exercise_date: The option is fully vested and exercisable as of the date hereof. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 3,750 | $52.28 | $196,062.00 |
DisclosureSEC source: 0000895345-20-000877 · form4.xml · nonDerivative · entry 4 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $52.10 to $52.56, inclusive. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 100 | $52.43 | $5,243.00 |
DisclosureSEC source: 0000895345-20-000877 · form4.xml · nonDerivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,772 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 3,650 | $51.77 | $188,967.44 |
DisclosureSEC source: 0000895345-20-000877 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,872 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 $51.41 to $52.37, 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 and 4 to this Form 4. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-000877 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| July 10, 2020 Filed Jul 13, 2020 20:41 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,500 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000803 · form4.xml · derivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 164,238 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. Read SEC document |
| July 10, 2020 Filed Jul 13, 2020 20:41 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 7,500 | $54.58 | $409,367.25 |
DisclosureSEC source: 0000895345-20-000803 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 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 $54.22 to $54.91, 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 footnote 3 to this Form 4. F2 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| July 10, 2020 Filed Jul 13, 2020 20:41 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 7,500 | $20.59 | $154,425.00 |
DisclosureSEC source: 0000895345-20-000803 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,522 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) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| April 27, 2020 Filed Apr 28, 2020 23:27 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerClass A common stock | 37,770 | $48.79 | $1,842,798.30 |
DisclosureSEC source: 0000895345-20-000597 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,022 F1 · price: This amount represents the $50.25 per-share price at which shares of the issuer's Class A common stock (the "Class A Common Stock") were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.46 per share. F2 · balance_after: This amount includes (i) 24,628 unvested restricted stock units ("RSUs") in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| April 22, 2020 Filed Apr 25, 2020 00:11 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000579 · form4.xml · derivative · entry 3 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 171,738 Underlying: Class A common stock · 100,000 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. F2 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| April 22, 2020 Filed Apr 25, 2020 00:11 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Tax withholdingClass A common stock | 68,215 | $51.44 | $3,508,979.60 |
DisclosureSEC source: 0000895345-20-000579 · form4.xml · nonDerivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,792 F1 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| April 22, 2020 Filed Apr 25, 2020 00:11 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 100,000 | $20.59 | $2,059,000.00 |
DisclosureSEC source: 0000895345-20-000579 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,007 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 · balance_after: This amount includes (i) 24,628 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, and (iii) 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. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 20:21 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 10,290 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-20-000391 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,007 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 17, 2020. F2 · balance_after: This amount includes (i) 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, (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, subject to the reporting person's continued employment through such date, and (iii) 10,290 unvested RSUs in respect of Class A Common Stock which are scheduled to vest as described in footnote 1 to this Form 4. Read SEC document |
| February 21, 2020 Filed Feb 25, 2020 23:44 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantStock Option (Right to Buy) · Derivative | 45,290 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000261 · form4.xml · derivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,738 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 2019 which were deemed achieved on February 21, 2020. F4 · derivative.exercise_date: This 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 226,448 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 21, 2020 Filed Feb 25, 2020 23:44 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 39,604 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-20-000261 · form4.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,717 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 February 13, 2019, subject to the achievement of certain performance goals in respect of calendar year 2019. Those performance goals were deemed achieved at the maximum performance level on February 21, 2020. These RSUs remain unvested and are scheduled to vest on January 1, 2022, subject to the reporting person's continued employment through such date. F2 · balance_after: This amount includes (i) 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, and (ii) 39,604 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2022, subject to the reporting person's continued employment through such date. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:38 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 308 | $0.00 | $0.00 |
DisclosureSEC 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 | Tradeweb Markets Inc. TW · Entity 3211 | Tax withholdingClass A common stock | 5,036 | $46.18 | $232,562.48 |
DisclosureSEC 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 |
| November 15, 2019 Filed Nov 15, 2019 21:15 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerNon-voting common units of Tradeweb Markets LLC · Derivative | 1,726 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-021691 · doc1.xml · derivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 1,726 shares Expires not disclosed F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. F2 · kind: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F2 · price: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. Read SEC document |
| November 15, 2019 Filed Nov 15, 2019 21:15 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerClass D common stock · Derivative | 1,726 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-021691 · doc1.xml · derivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class C common stock · 1,726 shares Expires not disclosed F1 · derivative.exercise_price: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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. F2 · kind: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F2 · price: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F1 · derivative.exercise_date: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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 · derivative.expiration_date: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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 |
| October 22, 2019 Filed Oct 22, 2019 22:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerNon-voting common units of Tradeweb Markets LLC · Derivative | 11,505 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-019885 · doc1.xml · derivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,726 Underlying: Class A common stock · 11,505 shares Expires not disclosed F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. F2 · kind: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F2 · price: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. F3 · 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 (or shares of Class C Common Stock, in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 1 to this Form 4) will be canceled. These exchange rights do not expire. Read SEC document |
| October 22, 2019 Filed Oct 22, 2019 22:04 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerClass D common stock · Derivative | 11,505 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-019885 · doc1.xml · derivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,726 Underlying: Class C common stock · 11,505 shares Expires not disclosed F1 · derivative.exercise_price: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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. F2 · kind: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F2 · price: The reporting person sold to the issuer the number of LLC Units set forth above at a price per LLC Unit of $40.74, which represents the $42.00 price at which shares of Class A common stock ("Class A Common Stock") of the issuer were sold in a public offering of the Class A Common Stock, less the underwriters' discount of $1.26 per share. The corresponding number of shares of Class D Common Stock along with the exchange rights thereunder were canceled in their entirety in connection with the sale of the LLC Units. F1 · derivative.exercise_date: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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 · derivative.expiration_date: Shares of Class D common stock of the issuer ("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 non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer ("LLC Units"), held. Shares of Class D Common Stock are exchangeable for shares of the issuer's Class C common stock ("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 |
| April 08, 2019 Filed Apr 8, 2019 21:13 UTC | Tradeweb Markets Inc. TW · Entity 3211 | PurchaseClass A common stock | 5,500 | $27.00 | $148,500.00 |
DisclosureSEC source: 0001567619-19-008533 · doc1.xml · nonDerivative · entry 1 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,841 F1 · shares: The reporting person purchased these shares in connection with the closing of the initial public offering of the issuer (the "IPO") at the IPO price of $27.00 per share pursuant to the directed share program described in the issuer's registration statement. The shares are subject to a lock-up provision for a period of 180 days, as required under a lock-up agreement with the underwriters of the IPO. F2 · balance_after: This amount includes 35,341 unvested restricted stock units in respect of the issuer's Class A common stock ("Class A Common Stock"). Subject to the reporting person's continued employment through each vesting date, these restricted stock units are scheduled to vest as follows: (i) 10,713 restricted stock units will vest on January 1, 2020, and (ii) 24,628 restricted stock units will vest on January 1, 2021. Read SEC document |
| October 26, 2018 Filed Apr 8, 2019 21:13 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantStock Option (Right to Buy) · Derivative | 226,449 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0001567619-19-008533 · doc1.xml · derivative · entry 2 Maisey Simon · CIK 0001771402 · Managing Director, Corp. Dev. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,449 Underlying: Class A common stock · 226,449 shares Expires 2028-10-26 F3 · derivative.exercise_date: On October 26, 2018, the reporting person was granted an option to purchase 226,449 shares of Class A Common Stock, which option is vested as to 181,160 of the shares subject thereto as of the date hereof. The remainder of the option will vest on January 1, 2020, subject to the reporting person's continued employment on such date. 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.