Spencer James 4

4 · Tradeweb Markets Inc. · Filed Feb 14, 2020

Form 4

Period: 2020-02-12

Chief Technology Officer

Transactions

Exercise/Conversion
Class A common stock
2020-02-12$20.59/sh+74,996$1,544,168→ 133,329 total
Sale
Class A common stock
2020-02-12$47.11/sh−74,996$3,533,392→ 58,333 total
Exercise/Conversion
Class A common stock
2020-02-13$20.59/sh+30,321$624,309→ 88,654 total
Sale
Class A common stock
2020-02-13$47.07/sh−30,321$1,427,064→ 58,333 total
Exercise/Conversion
Class A common stock
2020-02-14$20.59/sh+1,835$37,783→ 60,168 total
Sale
Class A common stock
2020-02-14$50.00/sh−1,835$91,750→ 58,333 total
Exercise/Conversion
Stock Option (Right to Buy)
2020-02-12−74,996→ 227,583 total
Exercise: $20.59Exp: 2028-10-26→ Class A common stock (74,996 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2020-02-13−30,321→ 197,262 total
Exercise: $20.59Exp: 2028-10-26→ Class A common stock (30,321 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2020-02-14−1,835→ 195,427 total
Exercise: $20.59Exp: 2028-10-26→ Class A common stock (1,835 underlying)

Footnotes (5)

[F1]This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2019.
[F2]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.
[F3]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.
[F4]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.
[F5]This option is fully vested and exercisable as of the date hereof.

Documents

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