Scott Zucker - Jan 13, 2023 Form 4 Insider Report for Tradeweb Markets Inc. (TW)

Role
Chief Admin. and Risk Officer
Signature
/s/ Scott Zucker
Stock symbol
TW
Transactions as of
Jan 13, 2023
Transactions value $
-$1,708,862
Form type
4
Date filed
1/18/2023, 03:08 PM
Previous filing
Jan 9, 2023
Next filing
Feb 28, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TW Class A common stock Options Exercise $34.2K +1.66K +6.83% $20.59* 26K Jan 13, 2023 Direct F1, F2
transaction TW Class A common stock Sale -$119K -1.66K -6.39% $72.01 24.3K Jan 13, 2023 Direct F1, F2, F3
transaction TW Class A common stock Options Exercise $650K +31.6K +129.85% $20.59* 55.9K Jan 17, 2023 Direct F1, F2
transaction TW Class A common stock Sale -$2.27M -31.6K -56.49% $72.04 24.3K Jan 17, 2023 Direct F1, F2, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TW Stock Option (Right to Buy) Options Exercise $0 -1.66K -4.99% $0.00 31.6K Jan 13, 2023 Class A common stock 1.66K $20.59 Direct F1, F5
transaction TW Stock Option (Right to Buy) Options Exercise $0 -31.6K -100% $0.00* 0 Jan 17, 2023 Class A common stock 31.6K $20.59 Direct F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 3, 2022.
F2 This amount includes (i) 3,001 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on March 17, 2023, (ii) 3,393 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on each of March 15, 2023 and March 15, 2024, (iii) 10,180 unvested RSUs in respect of Class A Common Stock which are scheduled to vest on January 1, 2024, and (iv) 4,478 unvested RSUs in respect of Class A Common Stock which are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, in each case subject to the reporting person's continued employment through the applicable vesting date.
F3 The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72 to $72.09, 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 of this Form 4.
F4 The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.00 to $72.29, inclusive.
F5 The option is fully vested and exercisable as of the date hereof.