0000899243-15-008446.txt : 20151118
0000899243-15-008446.hdr.sgml : 20151118
20151118194425
ACCESSION NUMBER: 0000899243-15-008446
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151118
FILED AS OF DATE: 20151118
DATE AS OF CHANGE: 20151118
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: 900 3RD AVENUE, 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022-0100
BUSINESS PHONE: 212-418-0100
MAIL ADDRESS:
STREET 1: 900 3RD AVENUE, 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022-0100
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Osnoss Joseph
CENTRAL INDEX KEY: 0001603955
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37352
FILM NUMBER: 151242002
MAIL ADDRESS:
STREET 1: C/O SILVER LAKE EUROPE LLP
STREET 2: BROADBENT HOUSE, 65 GROSVENOR STREET
CITY: LONDON
STATE: X0
ZIP: W1K 3JH
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-11-18
0
0001592386
Virtu Financial, Inc.
VIRT
0001603955
Osnoss Joseph
C/O SILVER LAKE, 2775 SAND HILL
ROAD, SUITE 100
MENLO PARK
CA
94025
1
0
0
0
Class C common stock
2015-11-18
4
C
0
3100579
D
0
I
Held through SLP Virtu Investors, LLC
Class A common stock
2015-11-18
4
C
0
3100579
A
3100579
I
Held through SLP Virtu Investors, LLC
Class A common stock
2015-11-18
4
S
0
2975258
21.65
D
0
I
Held through SLP III EW Feeder I, L.P.
Class A common stock
2015-11-18
4
S
0
3100579
21.65
D
0
I
Held through SLP Virtu Investors, LLC
Non-voting common interest units of Virtu Financial LLC
2015-11-18
4
C
0
3100579
D
Class A common stock
3100579
0
I
Held through SLP Virtu Investors, LLC
Shares of Class C common stock of the Issuer ("Class C Common Stock") have one vote per share but no economic rights (including rights to dividends and distributions upon liquidation) and are issued in an equal amount to the number of non-voting common interest units of Virtu Financial LLC ("Virtu Financial Units") held.
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 ("Class A Common Stock"), 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.
Reflects securities held directly by SLP Virtu Investors, LLC ("Investors LLC"). The managing member of Investors LLC is Silver Lake Partners III DE (AIV III), L.P., the general partner of which is Silver Lake Technology Associates III, L.P. ("Silver Lake Technology"). The general partner of Silver Lake Technology is SLTA III (GP), L.L.C, the sole member of which is Silver Lake Group, L.L.C.
As managing member of Investors LLC, Silver Lake Partners III DE (AIV III), L.P. may be deemed to share voting and dispositive power with respect to securities directly held by Investors LLC. As the general partner of each of Investors LLC and Feeder I (as defined below), Silver Lake Technology may be deemed to share voting and dispositive power with respect to securities directly held by each of Investors LLC and Feeder I. As the general partner of Silver Lake Technology, SLTA III (GP), L.L.C., and its managing member, Silver Lake Group, L.L.C., may each be deemed to share voting and dispositive power with respect to securities directly held by each of Investors LLC, Feeder I and Silver Lake Technology.
The Reporting Person, who serves as a director of the Issuer, also serves as a Managing Member of Silver Lake Group, L.L.C. and as a member of the investment committee of Silver Lake Technology and may be deemed to share voting and dispositive power with respect to any securities beneficially owned by Silver Lake Group, L.L.C. or Silver Lake Technology, but disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities in excess of such Reporting Person's pecuniary interest therein.
Reflects securities held directly by SLP III EW Feeder I, L.P. ("Feeder I"). The general partner of Feeder I is Silver Lake Technology. The general partner of Silver Lake Technology is SLTA III (GP), L.L.C, the sole member of which is Silver Lake Group, L.L.C.
JOSEPH OSNOSS: /s/ JOSEPH OSNOSS
2015-11-18