0001179110-17-011678.txt : 20170818
0001179110-17-011678.hdr.sgml : 20170818
20170818181027
ACCESSION NUMBER: 0001179110-17-011678
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170523
FILED AS OF DATE: 20170818
DATE AS OF CHANGE: 20170818
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: 171041892
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
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
CITY: NEW YORK
STATE: NY
ZIP: 10282
BUSINESS PHONE: 212-418-0100
MAIL ADDRESS:
STREET 1: 300 VESEY STREET
CITY: NEW YORK
STATE: NY
ZIP: 10282
4
1
edgar.xml
FORM 4 -
X0306
4
2017-05-23
0
0001592386
Virtu Financial, Inc.
VIRT
0001637470
Virtu Employee Holdco LLC
C/O VIRTU FINANCIAL, INC.
300 VESEY STREET
NEW YORK
NY
10282
1
0
1
1
See Remarks
Class C Common Stock
2017-05-23
4
D
0
291793
D
12670014
D
Class C Common Stock
2017-08-10
4
D
0
210766
D
12459248
D
Class C Common Stock
2017-08-16
4
D
0
155009
D
12304237
D
Non-voting common interest units of Virtu Financial LLC
2017-05-23
4
D
0
291793
D
Class A Common Stock
291793
12670014
D
Non-voting common interest units of Virtu Financial LLC
2017-08-10
4
D
0
210766
D
Class A Common Stock
210766
12459248
D
Non-voting common interest units of Virtu Financial LLC
2017-08-16
4
D
0
155009
D
Class A Common Stock
15509
12304237
D
Virtu Financial Units and corresponding shares of Class C Common Stock were distributed to electing employees and then exchanged for the same number of shares of Class A Common Stock in accordance with the terms of the Exchange Agreement (as defined in Footnote 3).
Virtu Financial LLC repurchased Virtu Financial Units held by the reporting person on behalf of one or more former employees, and the corresponding shares of Class C Common Stock were repurchased for nominal consideration.
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, 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.
Pursuant to the terms of Virtu Financial LLC's operating agreement, Virtu Financial LLC may repurchase Virtu Financial units held by the reporting person on behalf of an employee upon the employees departure from the Company.
/s/ Justin Waldie
2017-08-18