0001179110-18-009438.txt : 20180703
0001179110-18-009438.hdr.sgml : 20180703
20180703204025
ACCESSION NUMBER: 0001179110-18-009438
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180701
FILED AS OF DATE: 20180703
DATE AS OF CHANGE: 20180703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Abizaid John P.
CENTRAL INDEX KEY: 0001425152
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37352
FILM NUMBER: 18939304
MAIL ADDRESS:
STREET 1: 2628 PEARL ROAD
STREET 2: P.O. BOX 777
CITY: MEDINA
STATE: OH
ZIP: 44258
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Virtu Financial, Inc.
CENTRAL INDEX KEY: 0001592386
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 320420206
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 300 VESEY STREET
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10282
BUSINESS PHONE: 212-418-0100
MAIL ADDRESS:
STREET 1: 300 VESEY STREET
STREET 2: 10TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10282
4
1
edgar.xml
FORM 4 -
X0306
4
2018-07-01
0
0001592386
Virtu Financial, Inc.
VIRT
0001425152
Abizaid John P.
C/O VIRTU FINANCIAL, INC.
300 VESEY STREET
NEW YORK
NY
10282
1
0
0
0
Class A common stock
2018-07-01
4
M
0
6965
A
26063
D
Restricted Stock Unit
2018-07-01
4
M
0
6965
0
D
Class A Common Stock
6965
0
D
Restricted Stock Unit
2018-07-01
4
A
0
4998
0
A
Class A common stock
4998
4998
D
Non-voting common interest units of Virtu Financial LLC
Class A common stock
7661
7661
I
See footnote
Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.
Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.
The RSUs vested on July 1, 2018.
The RSUs vest on July 1, 2019.
Pursuant to the terms of the Exchange Agreement, effective as of April 15, 2015, by and among the Issuer, Virtu Financial LLC and the equityholders of Virtu Financial LLC (the "Exchange Agreement"), Virtu Financial Units, together with a corresponding number of shares of Class C common stock, may be exchanged for shares of Class A common stock of the Issuer, which have one vote per share and economic rights (including rights to dividends and distributions upon liquidation), on a one-for-one basis at the discretion of the holder. The exchange rights under the Exchange Agreement do not expire.
By Virtu Employee Holdco LLC, a holding vehicle through which employees and directors of the Issuer hold vested and unvested Virtu Financial Units and shares of Class C common stock. The reporting person disclaims beneficial ownership in such Virtu Financial Units and shares held by Virtu Employee Holdco LLC except to the extent of his pecuniary interest therein.
/s/ Justin Waldie, as Attorney-in-Fact for John P. Abizaid
2018-07-03