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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TJMT Holdings LLC C/O VIRTU FINANCIAL, INC. 900 3RD AVENUE NEW YORK, NY 10022 |
X | X | See Viola, Vincent J. | See Remarks |
Viola Michael T C/O VIRTU FINANCIAL, INC., 900 THIRD AVE NEW YORK, NY 10022 |
X | X | ||
Viola Teresa C/O VIRTU FINANCIAL, INC. 900 3RD AVENUE NEW YORK, NY 10022 |
X | X | See Remarks | |
Viola Vincent J 900 THIRD AVENUE NEW YORK, NY 10022-1010 |
X | X | Executive Chairman |
/s/ Justin Waldie, as Attorney-in-Fact for TJMT Holdings LLC | 12/28/2016 | |
**Signature of Reporting Person | Date | |
/s/ Justin Waldie, as Attorney-in-Fact for Michael Viola | 12/28/2016 | |
**Signature of Reporting Person | Date | |
/s/ Justin Waldie, as Attorney-in-Fact for Teresa Viola | 12/28/2016 | |
**Signature of Reporting Person | Date | |
/s/ Justin Waldie, as Attorney-In-Fact for Vincent Viola | 12/28/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by TJMT Holdings LLC on November 10, 2016 which provides for the purchase of up to 1,000,000 shares of Class A Common Stock. Accordingly, the reporting person had no discretion with regard to the timing of the transaction. |
(2) | The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $15.50 to $15.70, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, to any security holder of Virtu Financial, Inc., or to Virtu Financial, Inc., upon request, full information regarding the number of shares purchased at each separate price within the range set forth above. |
(3) | Mr. Michael Viola and Mrs. Teresa Viola each have an indirect interest in the securities acquired by TJMT Holdings LLC, a Viola family vehicle over which the reporting persons shares dispositive control and voting control. Mr. Vincent Viola has an indirect interest in the securities acquired by TJMT Holdings LLC by virtue of his spouse's dispositive and voting control over TJMT Holdings LLC. |
(4) | Directly owned by Mr. Vincent Viola. |
(5) | Directly owned by Mr. Michael Viola. |
Remarks: By virtue of relationship with Mr. Vincent Viola, a director of the Issuer, Mrs. Teresa Viola and TJMT Holdings LLC may each be deemed to be a director by deputization. |