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Tradeweb Markets Inc. — Director's Dealing 2021
Mar 4, 2021
30184_dirs_2021-03-03_90f8c753-3b91-4df0-b903-1e15e5f16424.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Tradeweb Markets Inc. (TW)
CIK: 0001758730
Period of Report: 2021-03-01
Reporting Person: WARSHAW ROBERT J (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-01 | Class A common stock | M | 30000 | $20.59 | Acquired | 91453 | Direct |
| 2021-03-01 | Class A common stock | S | 29000 | $72.1958 | Disposed | 62453 | Direct |
| 2021-03-01 | Class A common stock | S | 1000 | $72.5378 | Disposed | 61453 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-01 | Stock Option (Right to Buy) | $20.59 | M | 30000 | Disposed | 2028-10-26 | Class A common stock (30000) | Direct |
Footnotes
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 17, 2020.
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) 10,483 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of the first, second and third anniversaries of March 17, 2020, and (iii) 20,966 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, in each case subject to the reporting person's continued employed through the applicable vesting date.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.46 to $72.45, 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.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.48 to $72.72, inclusive.
F5: This option is fully vested and exercisable as of the date hereof.