0001179110-20-001643.txt : 20200214 0001179110-20-001643.hdr.sgml : 20200214 20200214172257 ACCESSION NUMBER: 0001179110-20-001643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191203 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 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: 20622031 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: ONE LIBERTY PLAZA STREET 2: 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 212-418-0100 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 165 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10006 4 1 edgar.xml FORM 4 - X0306 4 2019-12-03 0 0001592386 Virtu Financial, Inc. VIRT 0001637470 Virtu Employee Holdco LLC C/O VIRTU FINANCIAL, INC. 165 BROADWAY NEW YORK NY 10006 1 0 1 1 See Remarks Class C common stock 2019-12-03 4 D 0 5957 D 7535196 D Class C common stock 2020-01-10 4 D 0 473907 D 7061289 D Class C common stock 2020-02-12 4 D 0 250420 D 6810869 D Non-voting common interest units of Virtu Financial LLC 2019-12-03 4 D 0 5957 D Class A common stock 5957 7535196 D Non-voting common interest units of Virtu Financial LLC 2020-01-10 4 D 0 473907 D Class A common stock 473907 7061289 D Non-voting common interest units of Virtu Financial LLC 2020-02-12 4 D 0 250420 D Class A common stock 250420 6810869 D 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. 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 4). 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 employee's departure from the Company. 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. /s/ Justin Waldie, as Attorney-in-Fact 2020-02-14