0001179110-16-026000.txt : 20160603 0001179110-16-026000.hdr.sgml : 20160603 20160603174649 ACCESSION NUMBER: 0001179110-16-026000 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151012 FILED AS OF DATE: 20160603 DATE AS OF CHANGE: 20160603 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: Virtu Employee Holdco LLC CENTRAL INDEX KEY: 0001637470 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37352 FILM NUMBER: 161696956 BUSINESS ADDRESS: STREET 1: 900 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-1010 BUSINESS PHONE: 212-418-0100 MAIL ADDRESS: STREET 1: 900 THIRD AVENUE CITY: NEW YORK STATE: NY ZIP: 10022-1010 4 1 edgar.xml FORM 4 - X0306 4 2015-10-12 0 0001592386 Virtu Financial, Inc. VIRT 0001637470 Virtu Employee Holdco LLC C/O VIRTU FINANCIAL, INC. 900 THIRD AVENUE NEW YORK NY 10022 1 0 1 1 See Remarks Class C Common Stock 2015-10-12 4 D 0 57106 D 14801620 D Class C Common Stock 2016-01-05 4 D 0 16960 D 14784660 D Class C Common Stock 2016-01-29 4 D 0 24150 D 14760510 D Class C Common Stock 2016-02-26 4 D 0 8480 D 14752030 D Class C Common Stock 2016-03-18 4 D 0 4153 D 14747877 D Non-voting common interest units of Virtu Financial LLC 2015-10-12 4 D 0 57106 23.95 D Class A Common Stock 57106 14801620 D Non-voting common interest units of Virtu Financial LLC 2016-01-05 4 D 0 16960 D Class A Common Stock 16960 14784660 D Non-voting common interest units of Virtu Financial LLC 2016-01-29 4 D 0 24150 D Class A Common Stock 24150 14760510 D Non-voting common interest units of Virtu Financial LLC 2016-02-26 4 D 0 8480 D Class A Common Stock 8480 14752030 D Non-voting common interest units of Virtu Financial LLC 2016-03-18 4 D 0 4153 23.49 D Class A Common Stock 4153 14747877 D 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. All of the Virtu Financial Units and shares of Class C Common Stock are held by the reporting person for the benefit of certain directors, employees and former employees of the Issuer and its consolidated subsidiaries. 927,501 Virtu Financial Units held by the reporting person are subject to the time-based vesting tied to the continued employment of the employees for whom the relevant Virtu Financial Units are held. The reporting person disclaims beneficial ownership over the Virtu Financial Units and shares of Class C Common Stock to the extent that it does not have any pecuniary interest therein. Shares of Class C Common Stock were repurchased for nominal consideration in connection with the repurchase of Virtu Financial Units held by the reporting person on behalf of a former employee. Virtu Financial Units and shares of Class C Common Stock were subject to time-based vesting tied to the continued employment of the employees for whom the relevant Virtu Financial Units are held, and were forfeited, in the case of Virtu Financial Units, or cancelled, in the case of the Class C Common Stock, upon the termination of employment of the applicable employee. 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 no expire. By virtue of its relationship with Mr. Vincent Viola, who is the managing member of the reporting person and a director of the Issuer, the reporting person may be deemed to be director by deputization. /s/ Justin Waldie 2016-06-03