Tradeweb Markets Inc
For the period ended Mar 31, 2024. Filed Apr 25, 2024.
View on SEC.govAbout this filing
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.
Mar 31, 2024 · Filed Apr 25, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 5. Other Information
(a) None.
(b) None.
(c)Securities Trading Plans of Executive Officers and Directors
The following table describes trading plans intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act, as defined in Item 408 of Regulation S-K (“Rule 10b5-1 trading arrangements”), adopted, modified orterminated by our executive officers and directors during the three months ended March 31, 2024.
| Name and Title | Action | Date | Aggregate Number of Securities to be Purchased or Sold | Scheduled Expiration Date (1) |
|---|---|---|---|---|
| Billy HultChief Executive Officer and Director | Adoption | February 8, 2024 | Sale of an amount equal to up to 98,000 shares of Class A common stock to be issued upon the exercise of options in accordance with the terms of the Rule 10b5-1 trading arrangement. | February 8, 2025 |
| Sara FurberChief Financial Officer | Adoption | February 16, 2024 | Sale of an amount equal to up to: (A) 5,410 shares of Class A common stock, plus (B) (i) 10,807 shares of Class A common stock to be issued upon the vesting on March 15, 2024 of previously awarded restricted stock units, plus (ii) the number of shares issued upon vesting on March 15, 2024 in settlement of dividend equivalent rights in respect of the 10,807 shares subject to the restricted stock units that accrued during the award’s vesting period of March 15, 2022 - March 15, 2024, pursuant to the terms of the award agreement and determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date, plus (C) (i) 4,948 shares of Class A common stock to be issued upon the vesting on March 31, 2024 of previously awarded restricted stock units, plus (ii) the number of shares issued upon vesting on March 31, 2024 in settlement of dividend equivalent rights in respect of the 4,948 shares subject to the restricted stock units that accrued during the award’s vesting period of March 31, 2023 - March 31, 2024, pursuant to the terms of the award agreement and determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date. | July 26, 2024 |
| Enrico BruniManaging Director, Head of Europe and Asia Business | Adoption | March 1, 2024 | Sale of an amount equal to up to 50,000 shares of Class A common stock to be issued upon the exercise of options in accordance with the terms of the Rule 10b5-1 trading arrangement. | December 13, 2024 |
(1) In each case, the Rule 10b5-1 trading arrangement may also expire on such earlier date as all such transactions under the trading arrangement are completed or at such time as such trading arrangement is otherwise terminated in accordance with its terms.
During the three months ended March 31, 2024, none of our directors or executive officers adopted, modified orterminated a non-Rule 10b5-1 trading arrangement (as defined in Item 408 of Regulation S-K).
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.