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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trudeau Robert C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | X | May be part of a 13(g) group | |
HOAG JAY C C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
KIMBALL RICK C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
DREW JOHN C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
REYNOLDS JON Q JR C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
GRIFFITH WILLIAM C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
Technology Crossover Management VI, L.L.C. C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
TCV VI L P C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group | ||
TCV Member Fund, L.P. C/O TECHNOLOGY CROSSOVER VENTURES 528 RAMONA STREET PALO ALTO, CA 94301 |
X | May be part of a 13(g) group |
Carla S. Newell Authorized signatory for Robert W. Trudeau | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for Jay C. Hoag | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for Richard H. Kimball | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for John L. Drew | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for Jon Q. Reynolds Jr. | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for William J.G. Griffith IV | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for Technology Crossover Management VI, L.L.C. | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for TCV VI, L.P. | 06/04/2009 | |
**Signature of Reporting Person | Date | |
Carla S. Newell Authorized signatory for TCV Member Fund, L.P. | 06/04/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Robert M. Trudeau ("Trudeau") transferred 2,114 shares which were issued under the MarketAxess Holdings Inc. 2004 Stock Incentive Plan to TCV VI Management, L.L.C. ("Management"). While Trudeau was the beneficial owner of these shares, Management was entitled to 100% of the pecuniary interest in such shares prior to their transfer. |
(2) | These shares were held directly by Trudeau. Trudeau had sole voting and dispositive power over these shares; however, Management owned 100% of the pecuniary interest therein. Trudeau, Jay C. Hoag ("Hoag"), Richard H. Kimball ("Kimball"), John L. Drew ("Drew"), Jon Q. Reynolds, Jr. ("Reynolds") and William J.G. Griffith IV ("Griffith") (collectively, the "TCM Members") are members of Management, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interests therein. |
(3) | These shares are held directly by Management. Each of the TCM Members are members of Management, but each disclaims beneficial ownership of such shares except to the extent of their pecuniary interests therein. |
(4) | Hoag, Kimball, Drew, Reynolds, Griffith, Trudeau and Management (collectively, "Reporting Owners") may be deemed to be part of a 13(g) group with other related persons; however, the Reporting Owners disclaim 13(g) group status. |