Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NASDAQ, INC.NDAQ · Entity 3019 | Director · CHAIRMAN | December 31, 2016 | February 14, 2017 |
| Runway Growth Finance Corp.NONE · Entity 6030 | Director | December 16, 2016 | December 19, 2016 |
| Talkspace, Inc.HEC · Entity 22747 | Director | June 08, 2020 | June 08, 2020 |
| Virtu Financial, Inc.VIRT · Entity 3811 | Director | July 01, 2022 | July 01, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
NASDAQ, INC.
Report date December 31, 2016 · Filed February 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 988,436 |
Reported balance
After 2016-12-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-12-27 · Gift · Disposed 744 · Balance 988,436 F1: These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift. F2: The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. |
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 988,436 |
Reported balance
After 2016-12-29 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2016-12-29 · Gift · Disposed 635 · Balance 988,436 F1: These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift. F2: The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $21.31 · Expires 2019-06-30 | Direct | 900,000 |
Reported balance
Holding disclosure · report date 2016-12-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 900,000 F3: Options exercisable as to 100%. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift.
F2: The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan.
F3: Options exercisable as to 100%.
Runway Growth Finance Corp.
Report date December 16, 2016 · Filed December 19, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | Direct | 7,940.3333 |
Reported balance
After 2016-12-16 transaction · row 1
1 source rowRow 1 · 2016-12-16 · Purchase · Acquired 7,940.3333 · Balance 7,940.3333 |
Talkspace, Inc.
Report date June 08, 2020 · Filed June 08, 2020
This filing explicitly reported no securities owned.
Virtu Financial, Inc.
Report date July 01, 2022 · Filed July 01, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 28,861 |
Reported balance
After 2022-07-01 transaction · row 1
1 source rowRow 1 · 2022-07-01 · Exercise / conversion · Acquired 4,880 · Balance 28,861 F1: 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. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-07-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-07-01 · Exercise / conversion · Disposed 4,880 · Balance 0 F4: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F5: The RSUs vested on July 1, 2022. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 6,365 |
Reported balance
After 2022-07-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-07-01 · Grant · Acquired 6,365 · Balance 6,365 F4: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F6: The RSUs vest on July 1, 2023. |
| Class A common stockSEC Table I · non-derivative | IndirectTrust | 290,680 |
Reported balance
Holding disclosure · report date 2022-07-01 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 290,680 F2: By a trust, for the benefit of the reporting person. |
| Class A common stockSEC Table I · non-derivative | IndirectLLC | 290,680 |
Reported balance
Holding disclosure · report date 2022-07-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 290,680 F3: By a limited liability company, West Meadow Group LLC, which is controlled by the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: By a trust, for the benefit of the reporting person.
F3: By a limited liability company, West Meadow Group LLC, which is controlled by the reporting person.
F4: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer.
F5: The RSUs vested on July 1, 2022.
F6: The RSUs vest on July 1, 2023.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 01, 2022 Filed Jul 1, 2022 16:25 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 6,365 | $0.00 | $0.00 |
DisclosureSEC source: 0001592386-22-000069 · wf-form4_165670707016382.xml · derivative · entry 5 GREIFELD ROBERT · CIK 0001214669 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,365 Underlying: Class A common stock · 6,365 shares Expires not disclosed F4 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated 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 on July 1, 2023. F6 · derivative.expiration_date: The RSUs vest on July 1, 2023. Read SEC document |
| July 01, 2022 Filed Jul 1, 2022 16:25 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 4,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001592386-22-000069 · wf-form4_165670707016382.xml · derivative · entry 4 GREIFELD ROBERT · CIK 0001214669 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 4,880 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 2015 Amended and Restated 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 vested on July 1, 2022. F5 · derivative.expiration_date: The RSUs vested on July 1, 2022. Read SEC document |
| July 01, 2022 Filed Jul 1, 2022 16:25 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 4,880 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001592386-22-000069 · wf-form4_165670707016382.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,861 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 |
| November 24, 2021 Filed Nov 29, 2021 22:22 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | OtherClass A common stock, par value $0.00001 per share | 17,411,715 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-067013 · doc4.xml · nonDerivative · entry 1 North Island Ventures, LLC · CIK 0001711970 · 10% owner North Island Holdings I, LP · CIK 0001711953 · 10% owner North Island Holdings I GP, LP · CIK 0001711954 · 10% owner North Island L.L.C. · CIK 0001713500 · 10% owner West Meadow Group LLC · CIK 0001713499 · 10% owner HUTCHINS GLENN H · CIK 0001027038 · 10% owner GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,447,528 F1 · price: On November 24, 2021, Ordinal Holdings I, LP effected a distribution in kind of 17,411,715 shares of Issuer Class A common stock, par value $0.00001 per share ("Class A Common Stock"), to Coral Blue Investment Pte. Ltd., a limited partner of Ordinal Holdings I, LP at the time of such distribution (the "Distribution"). F2 · ownership.nature: These shares are owned directly by Ordinal Holdings I, LP. F3 · ownership.nature: The sole general partner of Ordinal Holdings I, LP is Ordinal Holdings I GP, LP. The sole general partner of Ordinal Holdings I GP, LP is Ordinal Ventures, LLC. Messrs. Hutchins and Greifeld, directly and/or indirectly through Tide Mill L.L.C. and West Meadow Group LLC, respectively, each control 50% of the membership interests in Ordinal Ventures, LLC. Each of Ordinal Holdings I GP, LP, Ordinal Ventures, LLC, Tide Mill L.L.C., and West Meadow Group LLC and Messrs. Hutchins and Greifeld may be deemed to beneficially own the shares beneficially owned by Ordinal Holdings I, LP, but each (other than the Ordinal Holdings I, LP to the extent of its direct holdings) disclaims beneficial ownership of such shares, except to the extent of such Reporting Person's pecuniary interest therein. (continued in Footnote 4) F4 · ownership.nature: (continued from Footnote 3) The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. Following the Distribution, the Reporting Persons own less than 10% of the outstanding shares of Class A Common Stock of the Issuer. Additionally, on August 17, 2021, Mr. Hutchins resigned as a director of the Issuer. As a result of these events, Ordinal Holdings I, LP, Ordinal Holdings I GP, LP, Tide Mill L.L.C., West Meadow Group LLC and Mr. Hutchins are no longer subject to Section 16 reporting requirements with respect to the Issuer's securities. Mr. Greifeld serves as a director of the Issuer and remains subject to Section 16 reporting requirements in such capacity, including with respect to shares indirectly owned by Mr. Greifeld through West Meadow Group LLC. F5 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Read SEC document |
| August 12, 2021 Filed Aug 17, 2021 00:03 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | SaleClass A common stock, par value $0.00001 per share | 1,500,000 | $26.15 | $39,225,000.00 |
DisclosureSEC source: 0001209191-21-051722 · doc4.xml · nonDerivative · entry 1 North Island Ventures, LLC · CIK 0001711970 · 10% owner North Island Holdings I, LP · CIK 0001711953 · 10% owner North Island Holdings I GP, LP · CIK 0001711954 · 10% owner North Island L.L.C. · CIK 0001713500 · 10% owner West Meadow Group LLC · CIK 0001713499 · 10% owner HUTCHINS GLENN H · CIK 0001027038 · Director · 10% owner GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 19,859,243 F1 · price: On August 12, 2021, Ordinal Holdings I, LP sold 1,500,000 shares of the Issuer's Class A common stock, par value $0.00001 per share for approximately $26.15 per share to the Issuer. F2 · ownership.nature: These shares are owned directly by Ordinal Holdings I, LP. F3 · ownership.nature: The sole general partner of Ordinal Holdings I, LP is Ordinal Holdings I GP, LP. The sole general partner of Ordinal Holdings I GP, LP is Ordinal Ventures, LLC. Messrs. Hutchins and Greifeld, directly and/or indirectly through Tide Mill L.L.C. and West Meadow Group LLC, respectively, each control 50% of the membership interests in Ordinal Ventures, LLC. Each of Ordinal Holdings I GP, LP, Ordinal Ventures, LLC, Tide Mill L.L.C., and West Meadow Group LLC and Messrs. Hutchins and Greifeld may be deemed to beneficially own the shares beneficially owned by Ordinal Holdings I, LP, but each (other than the Ordinal Holdings I, LP to the extent of its direct holdings) disclaims beneficial ownership of such shares, except to the extent of such Reporting Person's pecuniary interest therein. (continued in Footnote 4) F4 · ownership.nature: (continued from Footnote 3) The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:26 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 4,880 | $0.00 | $0.00 |
DisclosureSEC source: 0001592386-21-000030 · wf-form4_162525757743032.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,880 Underlying: Class A common stock · 4,880 shares Expires not disclosed F2 · 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. F4 · derivative.exercise_date: The RSUs vest on July 1, 2022. F4 · derivative.expiration_date: The RSUs vest on July 1, 2022. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:26 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 5,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001592386-21-000030 · wf-form4_162525757743032.xml · derivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 5,811 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. F2 · 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. F3 · derivative.exercise_date: The RSUs vested on July 1, 2021. F3 · derivative.expiration_date: The RSUs vested on July 1, 2021. Read SEC document |
| July 01, 2021 Filed Jul 2, 2021 16:26 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 5,811 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001592386-21-000030 · wf-form4_162525757743032.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,981 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 |
| July 01, 2020 Filed Jul 6, 2020 19:10 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 5,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008063 · edgar.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,811 Underlying: Class A common stock · 5,811 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 1, 2021. F4 · derivative.expiration_date: The RSUs vest on July 1, 2021. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 19:10 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 6,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008063 · edgar.xml · derivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 6,325 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2020. F3 · derivative.expiration_date: The RSUs vested on July 1, 2020. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 19:10 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 6,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-008063 · edgar.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,170 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 2015 Amended and Restated Management Incentive Plan. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 18:20 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 6,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008499 · edgar.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,325 Underlying: Class A common stock · 6,325 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vest on July 1, 2020. F4 · derivative.expiration_date: The RSUs vest on July 1, 2020. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 18:20 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 4,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008499 · edgar.xml · derivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 4,998 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vested on July 1, 2019. F3 · derivative.expiration_date: The RSUs vested on July 1, 2019. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 18:20 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 4,998 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008499 · edgar.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,845 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 2015 Amended and Restated Management Incentive Plan. Read SEC document |
| July 03, 2018 Filed Jul 3, 2018 21:22 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 6,847 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-009444 · edgar.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,998 Underlying: Class A common stock · 6,847 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. F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F4 · derivative.exercise_date: The RSUs vested on July 3, 2018. F4 · derivative.expiration_date: The RSUs vested on July 3, 2018. Read SEC document |
| July 03, 2018 Filed Jul 3, 2018 21:22 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 6,847 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-009444 · edgar.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,847 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 2015 Amended and Restated Management Incentive Plan. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 21:22 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 4,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-009444 · edgar.xml · derivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,845 Underlying: Class A common stock · 4,998 shares Expires not disclosed F2 · derivative.exercise_price: Each RSU is granted under the Issuer's 2015 Amended and Restated Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F3 · derivative.exercise_date: The RSUs vest on July 1, 2019. F3 · derivative.expiration_date: The RSUs vest on July 1, 2019. Read SEC document |
| January 03, 2018 Filed Jan 4, 2018 17:08 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 6,847 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-002044 · doc4.xml · derivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,847 Underlying: Class A common stock · 6,847 shares Expires not disclosed F1 · security: Each restricted stock unit ("RSU") is granted under the Issuer's 2015 Amended and Restated Management Incentive Plan and represents a contingent right to receive one share of Class A common stock of the Issuer. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") is granted under the Issuer's 2015 Amended and Restated 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 3, 2018. F2 · derivative.expiration_date: The RSUs vest on July 3, 2018. Read SEC document |
| August 10, 2017 Filed Aug 10, 2017 20:42 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | PurchaseClass A common stock, par value $0.00001 per share | 338,124 | $15.44 | $5,220,634.56 |
DisclosureSEC source: 0001104659-17-051085 · a4.xml · nonDerivative · entry 1 North Island Ventures, LLC · CIK 0001711970 · 10% owner North Island Holdings I, LP · CIK 0001711953 · 10% owner North Island Holdings I GP, LP · CIK 0001711954 · 10% owner North Island L.L.C. · CIK 0001713500 · 10% owner West Meadow Group LLC · CIK 0001713499 · 10% owner HUTCHINS GLENN H · CIK 0001027038 · Director · 10% owner GREIFELD ROBERT · CIK 0001214669 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 40,064,103 F1 · price: On August 10, 2017, pursuant to a privately negotiated investment agreement with the Issuer and a letter agreement, dated July 19, 2017, with the Issuer, North Island Holdings I, LP purchased 338,124 shares of the Issuer's Class A common stock, par value $0.00001 per share for approximately $15.44 per share. F2 · ownership.nature: These shares are owned directly by North Island Holdings I, LP. F3 · ownership.nature: The sole general partner of North Island Holdings I, LP is North Island Holdings I GP, LP. The sole general partner of North Island Holdings I GP, LP is North Island Ventures, LLC. Messrs. Hutchins and Greifeld, directly and/or indirectly through North Island L.L.C. and West Meadow Group LLC, respectively, each control 50% of the membership interests in North Island Ventures, LLC. Each of North Island Holdings I GP, LP, North Island Ventures, LLC, North Island L.L.C., and West Meadow Group LLC and Messrs. Hutchins and Greifeld may be deemed to beneficially own the shares beneficially owned by North Island Holdings I, LP, but each (other than the North Island Holdings I, LP to the extent of its direct holdings) disclaims beneficial ownership of such shares, except to the extent of such Reporting Person's pecuniary interest therein. F4 · ownership.nature: The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein. F5 · ownership.nature: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:42 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Tax withholdingCommon Stock, par value $0.01 per share | 188,491 | $68.18 | $12,851,316.38 |
DisclosureSEC source: 0001209191-17-006741 · doc4.xml · nonDerivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,161,324 F2 · kind: Represents the surrender of shares to pay withholding taxes in connection with the settlement of PSUs, as described above. F3 · balance_after: Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 695,501 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 21:42 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GrantCommon Stock, par value $0.01 per share | 360,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-006741 · doc4.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,349,815 F1 · kind: Represents the settlement of performance share units (PSUs) that were granted under Nasdaq's Equity Incentive Plan on March 31, 2014. The ultimate amount of shares to be received under the grants depended upon the achievement of performance goals during a three-year performance period from January 1, 2014 through December 31, 2016. On January 30, 2017, Nasdaq's Board of Directors approved the settlement of the PSU grants. The shares underlying the PSUs vested on December 31, 2016. Read SEC document |
| December 29, 2016 Filed Feb 14, 2017 21:18 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GiftCommon Stock, par value $0.01 per share | 635 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-010466 · doc5.xml · nonDerivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,436 F1 · shares: These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift. F2 · balance_after: The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| December 27, 2016 Filed Feb 14, 2017 21:18 UTC | NASDAQ, INC. NDAQ · Entity 3019 | GiftCommon Stock, par value $0.01 per share | 744 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-010466 · doc5.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 988,436 F1 · shares: These shares were included in Box 5 of a Form 4 filed by the reporting person after the date of the bona fide charitable gift. F2 · balance_after: The amount reported reflects the amount of securities beneficially owned as of December 31, 2016 and represents (i) 336,673 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 16:09 UTC | Runway Growth Finance Corp. NONE · Entity 6030 | PurchaseCommon Stock, par value $0.01 per share | 7,940.3333 | $15.00 | $119,105.00 |
DisclosureSEC source: 0001144204-16-140242 · v455329_4.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,940.3333 Read SEC document |
| December 05, 2016 Filed Dec 7, 2016 21:19 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 66,000 | $0.00 Strike: $35.92 | $0.00 |
DisclosureSEC source: 0001209191-16-153889 · doc4.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 66,000 shares Expires 2016-12-13 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. F3 · derivative.exercise_date: Options exercisable as to 100%. Read SEC document |
| December 05, 2016 Filed Dec 7, 2016 21:19 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 66,000 | $64.89 | $4,282,740.00 |
DisclosureSEC source: 0001209191-16-153889 · doc4.xml · nonDerivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989,815 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.62 to $65.05, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. F2 · balance_after: Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| December 05, 2016 Filed Dec 7, 2016 21:19 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionCommon Stock, par value $0.01 per share | 66,000 | $35.92 | $2,370,720.00 |
DisclosureSEC source: 0001209191-16-153889 · doc4.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,055,815 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 |
| December 02, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 4,781 | $0.00 Strike: $35.92 | $0.00 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · derivative · entry 6 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,000 Underlying: Common Stock · 4,781 shares Expires 2016-12-13 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_date: Options exercisable as to 100%. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 4,781 | $64.24 | $307,131.44 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · nonDerivative · entry 4 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989,815 F2 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.10 to $64.47, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F3 · balance_after: Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| December 02, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionCommon Stock, par value $0.01 per share | 4,781 | $35.92 | $171,733.52 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · nonDerivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 994,596 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 |
| December 01, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 40,622 | $0.00 Strike: $35.92 | $0.00 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · derivative · entry 5 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,781 Underlying: Common Stock · 40,622 shares Expires 2016-12-13 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_date: Options exercisable as to 100%. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 40,622 | $63.58 | $2,582,746.76 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · nonDerivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989,815 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.50 to $63.69, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. Read SEC document |
| December 01, 2016 Filed Dec 5, 2016 22:36 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionCommon Stock, par value $0.01 per share | 40,622 | $35.92 | $1,459,142.24 |
DisclosureSEC source: 0001209191-16-153458 · doc4.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,030,437 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 |
| November 29, 2016 Filed Dec 1, 2016 21:59 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 48,597 | $0.00 Strike: $35.92 | $0.00 |
DisclosureSEC source: 0001209191-16-152690 · doc4.xml · derivative · entry 3 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,403 Underlying: Common Stock · 48,597 shares Expires 2016-12-13 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. F3 · derivative.exercise_date: Options exercisable as to 100%. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 21:59 UTC | NASDAQ, INC. NDAQ · Entity 3019 | SaleCommon Stock, par value $0.01 per share | 48,597 | $65.26 | $3,171,440.22 |
DisclosureSEC source: 0001209191-16-152690 · doc4.xml · nonDerivative · entry 2 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 989,815 F1 · price: The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.95 to $65.45, inclusive. The reporting person undertakes to provide to Nasdaq, any security holder of Nasdaq or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. F2 · balance_after: Represents (i) 338,052 shares of common stock acquired upon exercise of vested stock options, (ii) 126,169 vested shares of restricted stock, (iii) 523,992 vested shares underlying PSUs and (iv) 1,602 shares purchased under the Employee Stock Purchase Plan. Read SEC document |
| November 29, 2016 Filed Dec 1, 2016 21:59 UTC | NASDAQ, INC. NDAQ · Entity 3019 | Exercise / conversionCommon Stock, par value $0.01 per share | 48,597 | $35.92 | $1,745,604.24 |
DisclosureSEC source: 0001209191-16-152690 · doc4.xml · nonDerivative · entry 1 GREIFELD ROBERT · CIK 0001214669 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,038,412 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.