Sec Form 4 Filing - Olesky Lee @ Tradeweb Markets Inc. - 2021-06-23

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Olesky Lee
2. Issuer Name and Ticker or Trading Symbol
Tradeweb Markets Inc. [ TW]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
TRADEWEB MARKETS INC., 1177 AVENUE OF THE AMERICAS
3. Date of Earliest Transaction (MM/DD/YY)
06/23/2021
(Street)
NEW YORK, NY10036
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class A common stock 06/23/2021 M( 1 ) 52,377 A $ 20.59 525,834 ( 2 ) D
Class A common stock 06/23/2021 S( 1 ) 47,427 D $ 85.0202 ( 3 ) 478,407 ( 2 ) D
Class A common stock 06/23/2021 S( 1 ) 4,950 D $ 85.7099 ( 4 ) 473,457 ( 2 ) D
Class A common stock 06/24/2021 M( 1 ) 6,941 A $ 20.59 480,398 ( 2 ) D
Class A common stock 06/24/2021 S( 1 ) 6,941 D $ 84.6915 ( 5 ) 473,457 ( 2 ) D
Class A common stock 06/25/2021 M( 1 ) 32,235 A $ 20.59 505,692 ( 2 ) D
Class A common stock 06/25/2021 S( 1 ) 24,735 D $ 85.2953 ( 6 ) 480,957 ( 2 ) D
Class A common stock 06/25/2021 S( 1 ) 7,500 D $ 85.5569 ( 7 ) 473,457 ( 2 ) D
Class A common stock 20,000 I See footnote ( 8 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $ 20.59 06/23/2021 M( 1 ) 52,377 ( 9 ) 10/26/2028 Class A common stock 52,377 $ 0 818,886 D
Stock Option (Right to Buy) $ 20.59 06/24/2021 M( 1 ) 6,941 ( 9 ) 10/26/2028 Class A common stock 6,941 $ 0 811,945 D
Stock Option (Right to Buy) $ 20.59 06/25/2021 M( 1 ) 32,235 ( 9 ) 10/26/2028 Class A common stock 32,235 $ 0 779,710 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Olesky Lee
TRADEWEB MARKETS INC.
1177 AVENUE OF THE AMERICAS
NEW YORK, NY10036
X Chief Executive Officer
Signatures
/s/ Scott Zucker, Attorney-in-Fact for Lee Olesky 06/25/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 6, 2021.
( 2 )This amount includes (i) 298,526 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) 34,302 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 17, 2022 and March 17, 2023, (iii) 102,906 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2023, and (iv) 29,665 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 15, 2021, in each case subject to the reporting person's continued employment through the applicable vesting date.
( 3 )The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.55 to $85.54, 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, 4, 5, 6 and 7 to this Form 4.
( 4 )The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.55 to $86.13, inclusive.
( 5 )The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.50 to $85.26, inclusive.
( 6 )The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $84.50 to $85.49, inclusive.
( 7 )The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.50 to $85.74, inclusive.
( 8 )The reporting person owns these securities through The Lee Olesky 2019 Family Trust U/A/D March 21, 2019 ("The Family Trust"). The reporting person and his wife, as the co-trustees of The Family Trust, share the power to vote and invest the securities, but each disclaims beneficial ownership of such securities except to t he extent of his or her pecuniary interest therein.
( 9 )The option is fully vested and exercisable as of the date hereof.

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