Tradeweb Markets Inc.
For the period ended Jun 30, 2026. Filed Jul 30, 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.
Jun 30, 2026 · Filed Jul 30, 2026
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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 June 30, 2026.
| Name and Title | Action | Date | Aggregate Number of Securities to be Purchased or Sold | Scheduled Expiration Date (1) |
|---|---|---|---|---|
| Troy DixonManaging Director, Co-Head of Global Markets | Adoption | May 15, 2026 | Sale of up to 3,130 shares of Class A common stock. | January 16, 2027 |
| Douglas FriedmanChief Legal Officer | Adoption | May 15, 2026 | Sale of an amount equal to up to (A) (i) 5,971 shares of Class A common stock to be issued upon the vesting on January 1, 2027 of previously awarded performance-based restricted stock units, plus (ii) the number of shares issued upon vesting on January 1, 2027 in settlement of dividend equivalent rights in respect of the 5,971 shares subject to the performance-based restricted stock units that accrued during the award’s vesting period of January 1, 2024 – January 1, 2027, pursuant to the terms of the award agreement and to be determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date; plus (B) (i) 1,990 shares of Class A common stock to be issued upon the vesting on March 15, 2027 of previously awarded restricted stock units, plus (ii) the number of shares issued upon vesting on March 15, 2027 in settlement of dividend equivalent rights in respect of the 1,990 shares subject to the restricted stock units that accrued during the award’s vesting period of March 15, 2024 – March 15, 2027, pursuant to the terms of the award agreement and to be determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date; plus (C) (i) 2,170 shares of Class A common stock to be issued upon the vesting on March 15, 2027 of previously awarded restricted stock units, plus (ii) the number of shares issued upon vesting on March 15, 2027 in settlement of dividend equivalent rights in respect of the 2,170 shares subject to the restricted stock units that accrued during the award’s vesting period of March 15, 2026 – March 15, 2027, pursuant to the terms of the award agreement and to be determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date; plus (D) (i) 1,211 shares of Class A common stock to be issued upon vesting on March 17, 2027 of previously awarded restricted stock units, plus (ii) the number of shares issued upon vesting on March 17, 2027 in settlement of dividend equivalent rights in respect of the 1,211 shares subject to the restricted stock units that accrued during the award’s vesting period of March 17, 2025 – March 17, 2027, pursuant to the terms of the award agreement and to be determined on the vesting date, less (iii) the number of shares withheld for taxes, to be determined on the vesting date. | April 15, 2027 |
(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 June 30, 2026, none of our directors or executive officers adopted, modified or terminated a non-Rule 10b5-1 trading arrangement (as defined in Item 408 of Regulation S-K).
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