Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Tradeweb Markets Inc.TW · Entity 3211 | Chief Technology Officer | March 24, 2020 | April 03, 2020 |
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 March 24, 2020 · Filed April 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 111,583 |
Reported balance
After 2020-03-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-24 · Grant · Acquired 13,646 · Balance 111,583 F1: 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 24, 2020. F2: This amount includes (i) 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through 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) 13,646 unvested RSUs in respect of Class A Common Stock which are scheduled to vest as described in footnote 1 to this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 24, 2020.
F2: This amount includes (i) 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through 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) 13,646 unvested RSUs in respect of Class A Common Stock which are scheduled to vest as described in footnote 1 to this Form 4.
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 |
|---|---|---|---|---|---|---|
| March 24, 2020 Filed Apr 3, 2020 21:19 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 13,646 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-20-000514 · form4.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,583 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 24, 2020. F2 · balance_after: This amount includes (i) 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through 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) 13,646 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 23:47 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantStock Option (Right to Buy) · Derivative | 84,542 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000263 · form4.xml · derivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,083 Underlying: Class A common stock · 84,542 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 84,541 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 23:47 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 39,604 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-20-000263 · form4.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,937 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) 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through 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 20, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 51,443 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · derivative · entry 6 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,541 Underlying: Class A common stock · 51,443 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 20, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 51,443 | $50.38 | $2,591,904.11 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · nonDerivative · entry 4 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.83, inclusive. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 20, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 51,443 | $20.59 | $1,059,211.37 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · nonDerivative · entry 3 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 59,443 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · derivative · entry 5 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,984 Underlying: Class A common stock · 59,443 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 59,443 | $50.03 | $2,974,034.34 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · nonDerivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.23, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 3 and 4 to this Form 4. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 19, 2020 Filed Feb 21, 2020 00:42 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 59,443 | $20.59 | $1,223,931.37 |
DisclosureSEC source: 0000895345-20-000244 · form4.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,776 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 1,835 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · derivative · entry 9 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,427 Underlying: Class A common stock · 1,835 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 1,835 | $50.00 | $91,750.00 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 6 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 14, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 1,835 | $20.59 | $37,782.65 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 5 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,168 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 13, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,321 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · derivative · entry 8 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,262 Underlying: Class A common stock · 30,321 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 13, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 30,321 | $47.07 | $1,427,063.93 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 4 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.45, inclusive. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 13, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 30,321 | $20.59 | $624,309.39 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 3 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,654 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 74,996 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · derivative · entry 7 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,583 Underlying: Class A common stock · 74,996 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 74,996 | $47.11 | $3,533,391.54 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.63, 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 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:48 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 74,996 | $20.59 | $1,544,167.64 |
DisclosureSEC source: 0000895345-20-000176 · form4.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,329 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,663 unvested restricted stock units in respect of the issuer's Class A common stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 04, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,104 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · derivative · entry 12 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,579 Underlying: Class A common stock · 5,104 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F13 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 04, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 5,104 | $47.00 | $239,899.23 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 8 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.02, inclusive. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 04, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 5,104 | $20.59 | $105,091.36 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 7 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,437 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 2,300 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · derivative · entry 11 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,683 Underlying: Class A common stock · 2,300 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F13 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 2,300 | $47.02 | $108,155.89 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 6 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.05, inclusive. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 2,300 | $20.59 | $47,357.00 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 5 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,633 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantClass A common stock | 1,065 | $0.00 | $0.00 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 4 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,333 F7 · shares: Represents shares of Class A Common Stock acquired in connection with the settlement of certain dividend equivalent rights (the "DERs"). The DERs were granted in connection with previously awarded RSUs, and settled in shares of Class A Common Stock in connection with the settlement of the RSUs to which they relate. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Tax withholdingClass A common stock | 16,106 | $46.18 | $743,775.08 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 3 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,268 F5 · shares: Represents shares withheld by the issuer to satisfy the tax withholding obligation associated with the settlement of RSUs in respect of Class A Common Stock held by the reporting person. F6 · balance_after: This amount includes 31,663 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | OtherClass D common stock · Derivative | 35,367 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · derivative · entry 10 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 35,367 shares Expires not disclosed F11 · derivative.exercise_price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F12 · kind: Reflects the cancellation for no consideration of a number of shares of Class D Common Stock in connection with the exchange by the reporting person of an equal number of LLC Units for Class A Common Stock. F11 · price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F11 · derivative.exercise_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F11 · derivative.expiration_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionNon-voting common units of Tradeweb Markets LLC · Derivative | 35,367 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · derivative · entry 9 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 35,367 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F10 · derivative.exercise_price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F10 · price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire. F10 · derivative.exercise_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire. F10 · derivative.expiration_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 11 to this Form 4) will be canceled. These exchange rights do not expire. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 35,367 | $45.05 | $1,593,392.99 |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.23, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes 4, 8 and 9 to this Form 4. F3 · balance_after: This amount includes 31,663 unvested restricted stock units ("RSUs") in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,711 vested RSUs which were settled on February 3, 2020. Read SEC document |
| January 31, 2020 Filed Feb 4, 2020 22:36 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 35,367 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000895345-20-000049 · form4.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,741 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · shares: Represents shares of the issuer's Class A common stock ("Class A Common Stock") that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 10 to this Form 4. F2 · price: Represents shares of the issuer's Class A common stock ("Class A Common Stock") that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 10 to this Form 4. F3 · balance_after: This amount includes 31,663 unvested restricted stock units ("RSUs") in respect of Class A Common Stock which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,711 vested RSUs which were settled on February 3, 2020. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | OtherClass D common stock · Derivative | 6,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 10 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,367 Underlying: Class A common stock · 6,766 shares Expires not disclosed F9 · derivative.exercise_price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F10 · kind: Reflects the cancellation for no consideration of a number of shares of Class D Common Stock in connection with the exchange by the reporting person of an equal number of LLC Units for Class A Common Stock. F9 · price: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F9 · derivative.exercise_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. F9 · derivative.expiration_date: Shares of Class D Common Stock have ten votes per share but no economic rights (including rights to dividends or, other than their par value, any distribution upon liquidation) and are issued in an equal amount to the number of LLC Units held. Shares of Class D Common Stock are exchangeable for shares of Class C Common Stock, which have one vote per share but no economic rights (other than their par value upon liquidation), on a one-for-one basis at the discretion of the holder. These exchange rights do not expire. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionNon-voting common units of Tradeweb Markets LLC · Derivative | 6,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 9 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,367 Underlying: Class A common stock · 6,766 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F8 · derivative.exercise_price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F8 · price: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire. F8 · derivative.exercise_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire. F8 · derivative.expiration_date: Pursuant to the terms of the limited liability company agreement for Tradeweb Markets LLC, LLC Units may be exchanged for shares of Class A Common Stock or Class B common stock of the issuer, in each case, on a one-for-one basis at the discretion of the holder. Upon such an exchange, a corresponding number of shares of Class D common stock of the issuer ("Class D Common Stock") (or shares of the issuer's Class C common stock ("Class C Common Stock"), in the event the reporting person exchanged their shares of Class D Common Stock as described in footnote 9 to this Form 4) will be canceled. These exchange rights do not expire. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 6,766 | $45.02 | $304,618.18 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 6 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.00 to $45.09, inclusive. F2 · balance_after: This amount includes 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| January 28, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 6,766 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 5 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,140 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F5 · shares: Represents shares of Class A Common Stock that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 8 to this Form 4. F5 · price: Represents shares of Class A Common Stock that were obtained in exchange for an equal number of non-voting common units of Tradeweb Markets LLC, a subsidiary of the issuer (the "LLC Units"). The LLC Units may be exchanged for an equal number of shares of Class A Common Stock, as described in footnote 8 to this Form 4. F2 · balance_after: This amount includes 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 39,256 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 8 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,983 Underlying: Class A common stock · 39,256 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F7 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 39,256 | $44.54 | $1,748,438.69 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 4 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.14 to $44.82, inclusive. F2 · balance_after: This amount includes 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 39,256 | $20.59 | $808,281.04 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 3 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,630 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| January 24, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionStock Option (Right to Buy) · Derivative | 73,465 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · derivative · entry 7 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 349,239 Underlying: Class A common stock · 73,465 shares Expires 2028-10-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F7 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof. Read SEC document |
| January 24, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | SaleClass A common stock | 73,465 | $44.97 | $3,303,867.98 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,374 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.52 to $45.13, 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 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| January 24, 2020 Filed Jan 29, 2020 00:58 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Exercise / conversionClass A common stock | 73,465 | $20.59 | $1,512,644.35 |
DisclosureSEC source: 0001567619-20-001649 · doc1.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,839 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019. F2 · balance_after: This amount includes 31,664 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2021, subject to the reporting person's continued employment through the vesting date. This amount also includes 35,712 vested RSUs which will be settled on February 3, 2020. Read SEC document |
| November 15, 2019 Filed Nov 15, 2019 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerNon-voting common units of Tradeweb Markets LLC · Derivative | 4,566 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-021693 · doc1.xml · derivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,133 Underlying: Class A common stock · 4,566 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 21:17 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerClass D common stock · Derivative | 4,566 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-021693 · doc1.xml · derivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,133 Underlying: Class C common stock · 4,566 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 22:07 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerNon-voting common units of Tradeweb Markets LLC · Derivative | 30,434 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-019887 · doc1.xml · derivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,699 Underlying: Class A common stock · 30,434 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 22:07 UTC | Tradeweb Markets Inc. TW · Entity 3211 | Disposition to issuerClass D common stock · Derivative | 30,434 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-19-019887 · doc1.xml · derivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,699 Underlying: Class C common stock · 30,434 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 21:11 UTC | Tradeweb Markets Inc. TW · Entity 3211 | PurchaseClass A common stock | 6,000 | $27.00 | $162,000.00 |
DisclosureSEC source: 0001567619-19-008529 · doc1.xml · nonDerivative · entry 1 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,374 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 67,374 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) 35,711 restricted stock units will vest on January 1, 2020, and (ii) 31,663 restricted stock units will vest on January 1, 2021. Read SEC document |
| October 26, 2018 Filed Apr 8, 2019 21:11 UTC | Tradeweb Markets Inc. TW · Entity 3211 | GrantStock Option (Right to Buy) · Derivative | 422,706 | $0.00 Strike: $20.59 | $0.00 |
DisclosureSEC source: 0001567619-19-008529 · doc1.xml · derivative · entry 2 Spencer James · CIK 0001771296 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,706 Underlying: Class A common stock · 422,706 shares Expires 2028-10-26 F3 · derivative.exercise_date: On October 26, 2018, the reporting person was granted an option to purchase 422,706 shares of Class A Common Stock, which option is vested as to 338,165 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.