Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CME GROUP INC.CME · Entity 2909 | Director | December 31, 2017 | February 08, 2018 |
| Virtu Financial, Inc.VIRT · Entity 3811 | Director | July 01, 2020 | July 06, 2020 |
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.
CME GROUP INC.
Report date December 31, 2017 · Filed February 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock Class ASEC Table I · non-derivative | Direct | 127,383 |
Reported balance
After 2017-10-20 transaction · row 1
1 source rowRow 1 · 2017-10-20 · Gift · Disposed 10,685 · Balance 127,383 F1: This transaction involved a gift of securities from the reporting person to a charitable organization. |
| Common Stock Class B1SEC Table I · non-derivative | Direct | 3 |
Reported balance
Holding disclosure · report date 2017-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3 |
| Common Stock Class B2SEC Table I · non-derivative | Direct | 2 |
Reported balance
Holding disclosure · report date 2017-12-31 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 2 |
| Common Stock Class B3SEC Table I · non-derivative | Direct | 4 |
Reported balance
Holding disclosure · report date 2017-12-31 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 4 |
| Common Stock Class B4SEC Table I · non-derivative | Direct | 1 |
Reported balance
Holding disclosure · report date 2017-12-31 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1 |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction involved a gift of securities from the reporting person to a charitable organization.
Virtu Financial, Inc.
Report date July 01, 2020 · Filed July 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 31,886 |
Reported balance
After 2020-07-01 transaction · row 1
1 source rowRow 1 · 2020-07-01 · Exercise / conversion · Acquired 6,325 · Balance 31,886 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 2020-07-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-07-01 · Exercise / conversion · Disposed 6,325 · Balance 0 F2: 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: The RSUs vested on July 1, 2020. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 5,811 |
Reported balance
After 2020-07-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-07-01 · Grant · Acquired 5,811 · Balance 5,811 F2: 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: The RSUs vest on July 1, 2021. |
| Non-voting common interest units of Virtu Financial LLCSEC Table II · derivative / convertible security | IndirectSee footnote | 7,661 |
Reported balance
Holding disclosure · report date 2020-07-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 7,661 F5: 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 of the Issuer, 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. F6: By Virtu Employee Holdco LLC, a holding vehicle through which employees and directors of the Issuer hold vested and unvested Virtu Financial Units and shares of Class C Common Stock. The reporting person disclaims beneficial ownership in such Virtu Financial Units and shares held by Virtu Employee Holdco LLC except to the extent of his pecuniary interest therein. |
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: 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: The RSUs vested on July 1, 2020.
F4: The RSUs vest on July 1, 2021.
F5: 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 of the Issuer, 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.
F6: By Virtu Employee Holdco LLC, a holding vehicle through which employees and directors of the Issuer hold vested and unvested Virtu Financial Units and shares of Class C Common Stock. The reporting person disclaims beneficial ownership in such Virtu Financial Units and shares held by Virtu Employee Holdco LLC except to the extent of his pecuniary interest therein.
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, 2020 Filed Jul 6, 2020 19:42 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 5,811 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008079 · edgar.xml · derivative · entry 3 SANDNER JOHN F · CIK 0001212848 · Director 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 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, 2021. F4 · derivative.expiration_date: The RSUs vest on July 1, 2021. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 19:42 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 6,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-008079 · edgar.xml · derivative · entry 2 SANDNER JOHN F · CIK 0001212848 · Director 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 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, 2020. F3 · derivative.expiration_date: The RSUs vested on July 1, 2020. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 19:42 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 6,325 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-20-008079 · edgar.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,886 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, 2019 Filed Jul 3, 2019 18:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 6,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008509 · edgar.xml · derivative · entry 3 SANDNER JOHN F · CIK 0001212848 · Director 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 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, 2020. F4 · derivative.expiration_date: The RSUs vest on July 1, 2020. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 18:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 4,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008509 · edgar.xml · derivative · entry 2 SANDNER JOHN F · CIK 0001212848 · Director 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 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, 2019. F3 · derivative.expiration_date: The RSUs vested on July 1, 2019. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 18:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 4,998 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-19-008509 · edgar.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,561 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, 2018 Filed Jul 3, 2018 20:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 4,998 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-009432 · edgar.xml · derivative · entry 3 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,998 Underlying: Class A common stock · 4,998 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, 2019. F4 · derivative.expiration_date: The RSUs vest on July 1, 2019. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 20:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 6,965 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-009432 · edgar.xml · derivative · entry 2 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 6,965 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, 2018. F3 · derivative.expiration_date: The RSUs vested on July 1, 2018. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 20:31 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 6,965 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-18-009432 · edgar.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,563 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 |
| October 20, 2017 Filed Feb 8, 2018 21:02 UTC | CME GROUP INC. CME · Entity 2909 | GiftCommon Stock Class A | 10,685 | $0.00 | $0.00 |
DisclosureSEC source: 0001156375-18-000015 · edgardoc.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,383 F1 · kind: This transaction involved a gift of securities from the reporting person to a charitable organization. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:46 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | GrantRestricted Stock Unit · Derivative | 6,965 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010090 · edgar.xml · derivative · entry 3 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,965 Underlying: Class A common stock · 6,965 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, 2018. F4 · derivative.expiration_date: The RSUs vest on July 1, 2018. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:46 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionRestricted Stock Unit · Derivative | 7,019 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010090 · edgar.xml · derivative · entry 2 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 7,019 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, 2017. F3 · derivative.expiration_date: The RSUs vested on July 1, 2017. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:46 UTC | Virtu Financial, Inc. VIRT · Entity 3811 | Exercise / conversionClass A common stock | 7,019 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001179110-17-010090 · edgar.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,598 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 based on the closing price of the Issuer's Class A common stock on June 30, 2016 of 17.65. Read SEC document |
| June 26, 2017 Filed Jun 27, 2017 21:59 UTC | CME GROUP INC. CME · Entity 2909 | GrantCommon Stock Class A | 809 | $0.00 | $0.00 |
DisclosureSEC source: 0001156375-17-000063 · edgardoc.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,218 F1 · kind: Granted pursuant to the CME Group Director Stock Plan, as amended and restated. Read SEC document |
| February 10, 2016 Filed Feb 8, 2018 21:01 UTC | CME GROUP INC. CME · Entity 2909 | GiftCommon Stock Class A | 11,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001156375-18-000014 · primary_doc.xml · nonDerivative · entry 1 SANDNER JOHN F · CIK 0001212848 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,259 F1 · kind: This transaction involved a gift of securities from the reporting person to a charitable organization. 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.