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8-K

Marketaxess Holdings Inc (MKTX)

8-K 2022-06-10 For: 2022-06-08
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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

Current Report

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 8, 2022

MarketAxess Holdings Inc.

(Exact Name of Registrant as Specified in its Charter)

Delaware 001-34091 52-2230784
(State or other jurisdiction<br> <br>of incorporation) (Commission<br> <br>File Number) (IRS Employer<br> <br>Identification No.)

55 Hudson Yards

New York, New York 10001

(Address of principal executive offices, including zip code)

(212) 813-6000

(Registrant’s telephone number, including area code)

Not applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
--- ---
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:

Title of each class Trading<br> <br>Symbol(s) Name of each exchange<br> <br>on which registered
Common Stock, par value $0.003 per share MKTX NASDAQ Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 5.07 Submission of Matters to a Vote of Security Holders

On June 8, 2022, MarketAxess Holdings Inc. (the “Company”) held its 2022 Annual Meeting of Stockholders (the “2022 Annual Meeting”). A total of 34,088,100 shares of common stock were present or represented by proxy at the 2022 Annual Meeting, representing 91.01% of the issued and outstanding shares entitled to vote at the meeting. The proposals voted upon and the final results of the vote were as follows:

Proposal 1 — Election of Directors. The results were as follows:

Director For Against Abstain Broker<br>Non-Votes
Richard M. McVey 30,838,802 1,653,676 227,054 1,368,568
Nancy Altobello 32,457,206 255,930 6,396 1,368,568
Steven L. Begleiter 32,482,144 230,935 6,453 1,368,568
Stephen P. Casper 29,062,869 3,650,243 6,420 1,368,568
Jane Chwick 32,262,487 450,648 6,397 1,368,568
Christopher R. Concannon 32,255,077 458,062 6,393 1,368,568
William F. Cruger 31,362,294 1,341,922 15,316 1,368,568
Kourtney Gibson 32,523,385 189,740 6,407 1,368,568
Justin G. Gmelich 32,477,275 230,668 11,589 1,368,568
Richard G. Ketchum 32,476,314 236,804 6,414 1,368,568
Xiaojia Charles Li 31,997,618 710,747 11,167 1,368,568
Emily H. Portney 32,581,457 131,680 6,395 1,368,568
Richard L. Prager 30,621,717 2,091,416 6,399 1,368,568

Proposal 2 — Ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2022. The results were as follows:

For Against Abstain
32,333,669 1,667,506 86,925

Proposal 3 — Advisory vote on the compensation of the Company’s named executive officers as disclosed in the proxy statement pursuant to the SEC’s compensation disclosure rules (referred to as the “say-on-pay” proposal). The results were as follows:

For Against Abstain Broker Non-Votes
31,400,988 1,156,413 162,131 1,368,568

Proposal 4 — Approval of the Company’s 2022 Employee Stock Purchase Plan. The results were as follows:

For Against Abstain Broker Non-Votes
32,509,854 205,665 4,013 1,368,568

For more information on the 2022 Annual Meeting and the foregoing proposals, see the Company’s 2022 Proxy Statement.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

MARKETAXESS HOLDINGS INC.
Date: June 10, 2022 By: /s/ Scott Pintoff
Name: Scott Pintoff
Title: General Counsel and Secretary