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VIRT

Virtu Financial, Inc.

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Tapewire entity
3811
SEC CIK
0001592386
Parsed reports
343

Last 12 months

Inside the activity.

0 purchase rows · 19 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202602
Feb 2026010
Mar 202600
Apr 202600
May 202603
Jun 202600
Jul 202600
Aug 202603
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 21, 2020 Filed May 22, 2020 21:49 UTC
TJMT Holdings LLCDirector · 10% owner · See Remarks
Viola Michael TDirector · 10% owner
Viola TeresaDirector · 10% owner · See Remarks
Viola Vincent JDirector · 10% owner
GrantWarrant · Derivative 3,000,000 Not disclosed Strike: $22.98 Not disclosed
Disclosure

SEC source: 0001179110-20-006555 · edgar.xml · derivative · entry 3

TJMT Holdings LLC · CIK 0001602512 · Director · 10% owner · See Remarks

Viola Michael T · CIK 0001573310 · Director · 10% owner

Viola Teresa · CIK 0001602918 · Director · 10% owner · See Remarks

Viola Vincent J · CIK 0001573350 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000,000

Underlying: Class A common stock · 3,000,000 shares

Expires 2022-01-15

F3 · security: On March 20, 2020, an indirect subsidiary of the Issuer entered into a Loan Agreement (the "Loan Agreement") with TJMT Holdings LLC (the "Lender") providing for unsecured term loans from time to time (the "Loans") in an aggregate original principal amount not to exceed $300 million. Upon the execution of and in consideration for the Lender's commitments under the Loan Agreement, TJMT Holdings LLC received a warrant (the "Warrant") to purchase shares of Class A Common Stock. Pursuant to the Warrant, the Lender may purchase up to 3,000,000 shares of Class A common stock, which number of shares will be increased to 10,000,000 if, at any time during the term of the Loan Agreement, Loans equal to or greater than $100 million remain outstanding for a certain period of time specified in the Warrant.

F4 · derivative.exercise_price: The exercise price per share of the Class A Common Stock issuable pursuant to the Warrant is equal to the average of the volume weighted average prices of the Class A Common Stock for the ten (10) trading days following the date on which the Issuer publicly announced its earnings results for the first quarter of 2020, which was May 7, 2020.

F4 · date: The exercise price per share of the Class A Common Stock issuable pursuant to the Warrant is equal to the average of the volume weighted average prices of the Class A Common Stock for the ten (10) trading days following the date on which the Issuer publicly announced its earnings results for the first quarter of 2020, which was May 7, 2020.

F4 · price: The exercise price per share of the Class A Common Stock issuable pursuant to the Warrant is equal to the average of the volume weighted average prices of the Class A Common Stock for the ten (10) trading days following the date on which the Issuer publicly announced its earnings results for the first quarter of 2020, which was May 7, 2020.

F7 · ownership.nature: Mr. Michael Viola and Mrs. Teresa Viola each have an indirect interest in the securities held by TJMT, a Viola family vehicle over which each of the reporting persons share dispositive control and voting control.

Read SEC document
May 15, 2020 Filed May 19, 2020 00:05 UTC
Viola Michael TDirector · 10% owner
Exercise / conversionOption Award · Derivative 15,000 $0.00 Strike: $19.00 $0.00
Disclosure

SEC source: 0001179110-20-006257 · edgar.xml · derivative · entry 2

Viola Michael T · CIK 0001573310 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 15,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: Each Option Award was granted under the Issuer's 2015 Management Incentive Plan and represents a contingent right to receive one share of a Class A common stock of the Issuer.

F2 · derivative.exercise_date: Options Awards vested in equal installments on each of the first four (4) anniversaries of April 15, 2015.

F2 · derivative.expiration_date: Options Awards vested in equal installments on each of the first four (4) anniversaries of April 15, 2015.

Read SEC document
May 15, 2020 Filed May 19, 2020 00:05 UTC
Viola Michael TDirector · 10% owner
Exercise / conversionClass A common stock 15,000 $19.00 $285,000.00
Disclosure

SEC source: 0001179110-20-006257 · edgar.xml · nonDerivative · entry 1

Viola Michael T · CIK 0001573310 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,287

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 13, 2020 Filed May 15, 2020 13:24 UTC SaleClass A common stock, par value $0.00001 per share 5,500,000 $23.10 $127,050,000.00
Disclosure

SEC source: 0000899243-20-013177 · doc4.xml · nonDerivative · entry 1

Temasek Holdings (Private) Ltd · CIK 0001021944 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See note

Disclosed balance after: 11,380,503

F1 · ownership.nature: Havelock Fund Investments Pte Ltd ("Havelock") directly owns 8,867,682 Class A common stock, par value $0.00001 per share ("Class A Shares"). Havelock is wholly owned by Fullerton Fund Investments Pte. Ltd. ("Fullerton"). Fullerton may be deemed to beneficially own the Class A Shares beneficially owned by Havelock. Aranda Investments Pte. Ltd. ("Aranda") directly owns 2,512,821 Class A Shares. Aranda is wholly owned by Seletar Investments Pte. Ltd. ("Seletar"), which is wholly owned by Temasek Capital (Private) Limited ("Temasek Capital"). Each of Seletar and Temasek Capital may be deemed to beneficially own the Class A Shares beneficially owned by Aranda. Each of Temasek Capital and Fullerton are wholly owned by Temasek Holdings (Private) Limited ("Temasek"). Therefore, Temasek may be deemed to beneficially own the 11,380,503 Class A Shares deemed to be beneficially owned in the aggregate by Temasek Capital and Fullerton.

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May 11, 2020 Filed May 12, 2020 17:52 UTC SaleClass A common stock 10,133 $24.33 $246,575.41
Disclosure

SEC source: 0001179110-20-005834 · edgar.xml · nonDerivative · entry 1

Grano Joseph C. · CIK 0001566709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $24.24 to $24.46, 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 sold at each separate price within the range set forth above.

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May 11, 2020 Filed May 12, 2020 21:58 UTC
Virtu Employee Holdco LLCDirector · 10% owner · See Remarks
Disposition to issuerNon-voting common interest units of Virtu Financial LLC · Derivative 1,499,792 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-005838 · edgar.xml · derivative · entry 2

Virtu Employee Holdco LLC · CIK 0001637470 · Director · 10% owner · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,311,077

Underlying: Class A common stock · 1,499,792 shares

Expires not disclosed

F2 · derivative.exercise_price: 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.

F2 · price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

Read SEC document
May 11, 2020 Filed May 12, 2020 21:58 UTC
Virtu Employee Holdco LLCDirector · 10% owner · See Remarks
Disposition to issuerClass C common stock 1,499,792 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-005838 · edgar.xml · nonDerivative · entry 1

Virtu Employee Holdco LLC · CIK 0001637470 · Director · 10% owner · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,311,077

F1 · price: 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 2).

Read SEC document
February 12, 2020 Filed Feb 14, 2020 22:22 UTC
Virtu Employee Holdco LLCDirector · 10% owner · See Remarks
Disposition to issuerNon-voting common interest units of Virtu Financial LLC · Derivative 250,420 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-001643 · edgar.xml · derivative · entry 6

Virtu Employee Holdco LLC · CIK 0001637470 · Director · 10% owner · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,810,869

Underlying: Class A common stock · 250,420 shares

Expires not disclosed

F4 · derivative.exercise_price: 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.

F4 · price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

Read SEC document
February 12, 2020 Filed Feb 14, 2020 22:22 UTC
Virtu Employee Holdco LLCDirector · 10% owner · See Remarks
Disposition to issuerClass C common stock 250,420 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-001643 · edgar.xml · nonDerivative · entry 3

Virtu Employee Holdco LLC · CIK 0001637470 · Director · 10% owner · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,810,869

F2 · price: 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).

Read SEC document
January 29, 2020 Filed Jan 31, 2020 23:41 UTC GrantRestricted Stock Unit · Derivative 3,706 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000928 · edgar.xml · derivative · entry 1

Gambale Virginia · CIK 0001298598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,706

Underlying: Class A common stock · 3,706 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F2 · derivative.exercise_date: The RSUs vest on July 1, 2020.

F2 · derivative.expiration_date: The RSUs vest on July 1, 2020.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
GrantRestricted Stock Unit · Derivative 134,205 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · derivative · entry 6

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,293

Underlying: Class A common stock · 134,205 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
GrantClass A common stock 53,682 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · nonDerivative · entry 3

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,755

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:51 UTC GrantRestricted Stock Unit · Derivative 59,050 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · derivative · entry 9

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,787

Underlying: Class A common stock · 59,050 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F8 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F8 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:51 UTC Tax withholdingClass A common stock 9,738 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 6

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,904

F4 · price: Shares of Class A common stock withheld by the Issuer in accordance with the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:51 UTC GrantClass A common stock 23,620 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 5

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,642

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:47 UTC GrantRestricted Stock Unit · Derivative 49,848 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · derivative · entry 6

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,652

Underlying: Class A common stock · 49,848 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:47 UTC Tax withholdingClass A common stock 6,774 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · nonDerivative · entry 4

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,819

F4 · price: Shares of Class A common stock withheld by the Issuer in accordance with the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 24, 2020 Filed Jan 27, 2020 22:47 UTC GrantClass A common stock 19,939 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · nonDerivative · entry 3

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,593

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
GrantRestricted Stock Unit · Derivative 80,523 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · derivative · entry 6

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,611

Underlying: Class A common stock · 80,523 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F12 · shares: The filing of this Form 4A confirms the correct amount of RSUs granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
GrantClass A common stock 53,682 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · nonDerivative · entry 3

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,755

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:21 UTC Amendment GrantRestricted Stock Unit · Derivative 29,909 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · derivative · entry 6

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,713

Underlying: Class A common stock · 29,909 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F8 · shares: The filing of this Form 4A confirms the correct amount of RSUs granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:21 UTC Amendment Tax withholdingClass A common stock 6,774 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · nonDerivative · entry 4

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,819

F4 · price: Shares of Class A common stock withheld by the Issuer in accordance with the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:21 UTC Amendment GrantClass A common stock 19,939 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · nonDerivative · entry 3

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,593

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:26 UTC Amendment GrantRestricted Stock Unit · Derivative 35,430 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · derivative · entry 9

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,167

Underlying: Class A common stock · 35,430 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F13 · shares: The filing of this Form 4A confirms the correct amount of RSUs granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

F8 · derivative.exercise_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

F8 · derivative.expiration_date: The RSUs vest in three equal installments on January 24, 2021, January 24, 2022 and January 24, 2023.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:26 UTC Amendment Tax withholdingClass A common stock 9,738 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · nonDerivative · entry 6

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,904

F4 · price: Shares of Class A common stock withheld by the Issuer in accordance with the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 24, 2020 Filed Jan 31, 2020 23:26 UTC Amendment GrantClass A common stock 23,620 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · nonDerivative · entry 5

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,642

F3 · price: Shares of Class A common stock granted under the Issuer's Amended and Restated 2015 Management Incentive Plan based on the volume weighted average price of the Issuer's Class A common stock on the three trading days preceding the grant date of 15.6477.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 18,015 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · derivative · entry 5

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,088

Underlying: Class A common stock · 18,015 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,058 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · derivative · entry 4

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,103

Underlying: Class A common stock · 16,058 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F5 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

F5 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionClass A common stock 18,015 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · nonDerivative · entry 2

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,073

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 17:43 UTC
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionClass A common stock 16,058 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000802 · edgar.xml · nonDerivative · entry 1

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

F2 · balance_after: Amount does not reflect shares of Class A common stock associated with performance awards unless and until earned.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Exercise / conversionRestricted Stock Unit · Derivative 2,853 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · derivative · entry 8

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,737

Underlying: Class A common stock · 2,853 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Exercise / conversionRestricted Stock Unit · Derivative 3,033 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · derivative · entry 7

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,590

Underlying: Class A common stock · 3,033 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Tax withholdingClass A common stock 1,090 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 4

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,022

F2 · price: Shares of Class A common stock withheld by the Issuer in relation to the settlement of vested RSUs in accordance with the Issuer's 2015 Amended and Restated Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Exercise / conversionClass A common stock 2,853 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 3

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,112

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Tax withholdingClass A common stock 1,160 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 2

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,259

F2 · price: Shares of Class A common stock withheld by the Issuer in relation to the settlement of vested RSUs in accordance with the Issuer's 2015 Amended and Restated Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:51 UTC Exercise / conversionClass A common stock 3,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000807 · edgar.xml · nonDerivative · entry 1

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,419

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:47 UTC Exercise / conversionRestricted Stock Unit · Derivative 2,402 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · derivative · entry 5

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,804

Underlying: Class A common stock · 2,402 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:47 UTC Tax withholdingClass A common stock 816 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · nonDerivative · entry 2

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,654

F2 · price: Shares of Class A common stock withheld by the Issuer in relation to the settlement of vested RSUs in accordance with the Issuer's 2015 Amended and Restated Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 22:47 UTC Exercise / conversionClass A common stock 2,402 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000804 · edgar.xml · nonDerivative · entry 1

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,470

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 18,015 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · derivative · entry 5

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,088

Underlying: Class A common stock · 18,015 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit · Derivative 16,058 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · derivative · entry 4

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,103

Underlying: Class A common stock · 16,058 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F5 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

F5 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionClass A common stock 18,015 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · nonDerivative · entry 2

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,073

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 18:28 UTC Amendment
Cifu Douglas ADirector · Chief Executive Officer
Exercise / conversionClass A common stock 16,058 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000924 · edgar.xml · nonDerivative · entry 1

Cifu Douglas A · CIK 0001573283 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Management Incentive Plan.

F2 · balance_after: Amount does not reflect shares of Class A common stock associated with performance awards unless and until earned.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:21 UTC Amendment Exercise / conversionRestricted Stock Unit · Derivative 2,402 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · derivative · entry 5

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,804

Underlying: Class A common stock · 2,402 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:21 UTC Amendment Tax withholdingClass A common stock 816 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · nonDerivative · entry 2

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,654

F2 · price: Shares of Class A common stock withheld by the Issuer in relation to the settlement of vested RSUs in accordance with the Issuer's 2015 Amended and Restated Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:21 UTC Amendment Exercise / conversionClass A common stock 2,402 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000920 · edgar.xml · nonDerivative · entry 1

Cavoli Stephen · CIK 0001736674 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,470

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:26 UTC Amendment Exercise / conversionRestricted Stock Unit · Derivative 2,853 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · derivative · entry 8

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,737

Underlying: Class A common stock · 2,853 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F7 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

F7 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2020, January 23, 2021 and January 23, 2022.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:26 UTC Amendment Exercise / conversionRestricted Stock Unit · Derivative 3,033 $0.00 $0.00
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · derivative · entry 7

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,590

Underlying: Class A common stock · 3,033 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Each RSU is granted under the Issuer's Amended and Restated 2015 Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.

F6 · derivative.exercise_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

F6 · derivative.expiration_date: The RSUs vest in three equal installments on January 23, 2019, January 23, 2020 and January 23, 2021.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:26 UTC Amendment Tax withholdingClass A common stock 1,090 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · nonDerivative · entry 4

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,022

F2 · price: Shares of Class A common stock withheld by the Issuer in relation to the settlement of vested RSUs in accordance with the Issuer's 2015 Amended and Restated Incentive Plan.

Read SEC document
January 23, 2020 Filed Jan 31, 2020 23:26 UTC Amendment Exercise / conversionClass A common stock 2,853 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-000922 · edgar.xml · nonDerivative · entry 3

Fairclough Brett · CIK 0001788170 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,112

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Class A common stock issued in settlement of vested restricted stock units ("RSUs") granted under the Issuer's Amended and Restated 2015 Incentive Plan.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.