MARKETAXESS HOLDINGS INC
For the period ended Sep 30, 2026. Filed Nov 6, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 6, 2026
MKTX$165.67+0.0%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
Exhibit Index:
| Number | Description |
| 2.1† | Agreement and Plan of Merger, dated as of July 29, 2026, by and among MarketAxess Holdings Inc., Intercontinental Exchange, Inc. and Igloo Merger Sub II, Inc. (incorporated by reference to Exhibit 2.1 to the registrant’s Current Report on Form 8-K dated July 29, 2026) |
| 10.1 | First Amendment, dated as of July 29, 2026, to the employment letter agreement, dated January 6, 2023, by and between MarketAxess Holdings Inc. and Christopher Concannon (incorporated by reference to Exhibit 10.1 to the registrant’s Current Report on Form 8-K dated July 29, 2026) |
| 10.2 | First Amendment, dated as of July 29, 2026, to the Severance Protection Agreement, dated as of February 21, 2024, by and between MarketAxess Holdings Inc. and Ilene Fiszel Bieler (incorporated by reference to Exhibit 10.2 to the registrant’s Current Report on Form 8-K dated July 29, 2026) |
| 10.3 | Second Amendment, dated as of July 29, 2026, to the Severance Protection Agreement, dated as of July 31, 2020, by and between MarketAxess Holdings Inc. and Scott Pintoff (incorporated by reference to Exhibit 10.3 to the registrant’s Current Report on Form 8-K dated July 29, 2026) |
| 10.4* | Offer Letter, dated February 16, 2026, by and between MarketAxess Corporation and William Quan.#+ |
| 31.1* | Certification by Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 31.2* | Certification by Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 32.1* | Certification by Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 32.2* | Certification by Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 101.INS* | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL Document |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 104 | The cover page from the Company’s Quarterly report on Form 10-Q for the quarter ended September 30, 2026 has been formatted in Inline XBRL and is included in Exhibits 101. |
| * | Filed herewith. |
|---|---|
| † | Schedules have been omitted pursuant to Item 601(a)(5) and Item 601(b)(2) of Regulation S-K. The Company hereby undertakes to furnish supplemental copies of any of the omitted schedules upon request by the SEC; provided, however, that the Company may request confidential treatment pursuant to Rule 24b-2 of the Exchange Act, for any schedules so furnished. |
| # | Management contract or compensatory plan or arrangement. |
| + | Certain confidential information, identified by bracketed asterisks “[*****]” has been omitted from this exhibit pursuant to Item 601(b)(10) of Regulation S-K because it is both (i) not material and (ii) is the type that the registrant treats as private or confidential. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| MARKETAXESS HOLDINGS INC. | ||
| Date: November 6, 2026 | By: | /s/ CHRISTOPHER R. CONCANNON |
|---|---|---|
| Christopher R. Concannon | ||
| Chief Executive Officer | ||
| (principal executive officer) | ||
| Date: November 6, 2026 | By: | /s/ ILENE FISZEL BIELER |
|---|---|---|
| Ilene Fiszel Bieler | ||
| Chief Financial Officer | ||
| (principal financial officer) | ||
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