Tradeweb Markets Inc. — Director's Dealing 2021

Jun 18, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Tradeweb Markets Inc. (TW)
CIK: 0001758730
Period of Report: 2021-06-15

Reporting Person: WARSHAW ROBERT J (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-15	Class A common stock	M	10955	$20.59	Acquired	74779	Direct
2021-06-15	Class A common stock	S	10955	$85.0101	Disposed	63824	Direct
2021-06-16	Class A common stock	M	6700	$20.59	Acquired	70524	Direct
2021-06-16	Class A common stock	S	6700	$85.0899	Disposed	63824	Direct
2021-06-17	Class A common stock	M	1323	$20.59	Acquired	65147	Direct
2021-06-17	Class A common stock	S	1323	$85.0377	Disposed	63824	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-15	Stock Option (Right to Buy)	$20.59	M	10955	Disposed	2028-10-26	Class A common stock (10955)	Direct
2021-06-16	Stock Option (Right to Buy)	$20.59	M	6700	Disposed	2028-10-26	Class A common stock (6700)	Direct
2021-06-17	Stock Option (Right to Buy)	$20.59	M	1323	Disposed	2028-10-26	Class A common stock (1323)	Direct

Footnotes

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

F2: This amount includes (i) 22,004 unvested restricted stock units ("RSUs") in respect of the issuer's Class A common stock ("Class A Common Stock") which are scheduled to vest on January 1, 2022, (ii) 6,989 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (iii) 20,966 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iv) 5,865 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 15, 2021, in each case subject to the reporting person's continued employed through the applicable vesting date.

F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.06, 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.

F4: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.30, inclusive.

F5: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.13, inclusive.

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