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Virtu Financial, Inc. — Director's Dealing 2021
May 19, 2021
30684_dirs_2021-05-19_cf16719e-2ace-4a3c-ab13-39866c4477e5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Virtu Financial, Inc. (VIRT)
CIK: 0001592386
Period of Report: 2021-05-17
Reporting Person: Virtu Employee Holdco LLC (Director, 10% Owner, See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-17 | Class C common stock | D | 321316 | — | Disposed | 4685485 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-17 | Non-voting common interest units of Virtu Financial LLC | $ | D | 321316 | Disposed | Class A common stock (321316.0) | Direct |
Footnotes
F1: Virtu Financial Units and corresponding shares of Class C Common Stock were distributed to electing employees and then exchanged for shares of Class A Common Stock in accordance with the terms of the Exchange Agreement (as defined in Footnote 2).
F2: 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.