Virtu Financial, Inc. — Earnings Release 2016

Nov 4, 2016

8-K 1 a16-21055_18k.htm 8-K

*UNITED STATES SECURITIES AND EXCHANGE COMMISSION*

*WASHINGTON, D.C. 20549*

*FORM 8-K*

*CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934*

Date of Report (date of earliest event reported): November 4, 2016

*VIRTU FINANCIAL, INC.*

(Exact name of registrant as specified in its charter)

Delaware	001-37352	32-0420206
(State or other jurisdiction of incorporation)	(Commission File No.)	(IRS Employer Identification No.)

*900 Third Avenue New York, NY 10022-1010* (Address of principal executive offices)

*(212) 418-0100* (Registrant’s telephone number, including area code)

*NOT APPLICABLE* (Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions ( see General Instruction A.2. below):

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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*ITEM 2.02 RESULTS OF OPERATIONS AND FINANCIAL CONDITION*

On November 4, 2016, Virtu Financial, Inc. (the “Company”) issued a press release setting forth its financial results for its third quarter ended September 30, 2016. A copy of the Company’s press release is attached as Exhibit 99.1 to this report. The Company does not intend for this Item 2.02 or Exhibit 99.1 to be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or to be incorporated by reference into filings under the Securities Act of 1933, as amended.

*ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS*

(d) Exhibits

Exhibit No.	Description
99.1	Press release of Virtu Financial, Inc., dated November 4, 2016 and furnished pursuant to Item 2.02, “Results of Operations and Financial Condition.”

2

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*SIGNATURES*

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

/s/ Justin Waldie
Name:	Justin Waldie
Title:	Senior Vice President, Secretary and
	General Counsel

Dated: November 4, 2016

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EXHIBIT INDEX

Exhibit No.	Description
99.1	Press release of Virtu Financial, Inc., dated November 4, 2016 and furnished pursuant to Item 2.02, “Results of Operations and Financial Condition.”

4

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