MKTX 10-Q Quarterly Report Sept. 30, 2020 | Alphaminr
MARKETAXESS HOLDINGS INC

MKTX 10-Q Quarter ended Sept. 30, 2020

MARKETAXESS HOLDINGS INC
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TABLE OF CONTENTS
Part I Financial InformationItem 1. Financial StatementsItem 2. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 3. Quantitative and Qualitative Disclosures About Market RiskItem 4. Controls and ProceduresPart II Other InformationItem 1. Legal ProceedingsItem 1A. Risk FactorsItem 2. Unregistered Sales Of Equity Securities and Use Of ProceedsItem 3. Defaults Upon Senior SecuritiesItem 4. Mine Safety DisclosuresItem 5. Other InformationItem 6. Exhibits

Exhibits

10.1 Severance Protection Agreement, dated as of July31, 2020, by and between MarketAxess and Tony Delise (incorporated by reference to Exhibit 10.1 to the Companys Current Report on Form 8-K filed on August 4, 2020) 10.2 Severance Protection Agreement, dated as of July31, 2020, by and between MarketAxess and Scott Pintoff (incorporated by reference to Exhibit 10.2 to the Companys Current Report on Form 8-K filed on August 4, 2020) 10.3 Severance Protection Agreement, dated as of July31, 2020, by and between MarketAxess and Kevin McPherson (incorporated by reference to Exhibit 10.3 to the Companys Current Report on Form 8-K filed on August 4, 2020) 10.4 Severance Protection Agreement, dated as of July31, 2020, by and between MarketAxess and Nick Themelis (incorporated by reference to Exhibit 10.4 to the Companys Current Report on Form 8-K filed on August 4, 2020) 10.5 MarketAxess Europe Limited Severance Protection Agreement, dated as of July31, 2020, by and between MarketAxess Europe and Christophe Roupie (incorporated by reference to Exhibit 10.5 to the Companys Current Report on Form 8-K filed on August 4, 2020) 10.6* Third Amendment, dated as of August 19, 2020, to Amended and Restated Credit Agreement by and among MarketAxess Holdings., the other loan parties party thereto, the lenders party thereto and JPMorgan Chase Bank, N.A. as administrative agent 10.7* Fourth Amendment, dated October 8, 2020, to Amended and Restated Credit Agreement by and among MarketAxess Holdings Inc., the other loan parties party thereto, the lenders party thereto and JPMorgan Chase Bank, N.A. as administrative agent 31.1* Certification by Chief Executive Officer pursuant to Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2* Certification by Chief Financial Officer pursuant to Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1* Certification by Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2* Certification by Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002