# EDGAR Filing Document

**Accession Number:** 0001619516
**File Stem:** 0001592386-23-000016
**Filing Date:** 2023-2
**Character Count:** 7728
**Document Hash:** 7f819b220c79320456b34a509854097b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001592386-23-000016.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001592386-23-000016

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220812

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Galvin Sean
- **CENTRAL INDEX KEY:** 0001619516

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37352
- **FILM NUMBER:** 23596783

**MAIL ADDRESS:**
- **STREET 1:** 545 WASHINGTON BOULEVARD
- **CITY:** JERSEY CITY
- **STATE:** NJ
- **ZIP:** 07310
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Virtu Financial, Inc.
- **CENTRAL INDEX KEY:** 0001592386
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **IRS NUMBER:** 320420206
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1633 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 212-418-0100

**MAIL ADDRESS:**
- **STREET 1:** 1633 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Galvin Sean<br><sub>(Last) (First) (Middle)</sub><br>C/O VIRTU FINANCIAL, INC.<br>1633 BROADWAY<br><sub>(Street)</sub><br>NEW YORK, NY 10019<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-08-12 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CFO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Virtu Financial, Inc. [ VIRT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A common stock | 2022-08-12 |  | M |  | 4412 | A | <sup>(1)</sup> | 11819 | D |  |
| Class A common stock | 2023-02-03 |  | M |  | 2341 | A | <sup>(1)</sup> | 14160 | D |  |
| Class A common stock | 2023-02-03 |  | F |  | 844 | D | <sup>(2)</sup> | 13316 | D |  |
| Class A common stock | 2023-02-03 |  | M |  | 15000 | A | <sup>(1)</sup> | 28316 | D |  |
| Class A common stock | 2023-02-03 |  | F |  | 5408 | D | <sup>(2)</sup> | 22908 | D |  |
| Class A common stock | 2023-02-03 |  | A |  | 6593 | A | <sup>(3)</sup> | 29501 | D |  |
| Class A common stock | 2023-02-03 |  | F |  | 2377 | D | <sup>(2)</sup> | 27124 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit | <sup>(4)</sup> | 2022-08-12 |  | M |  |  | 4412 | <sup>(5)</sup> | <sup>(5)</sup> | Class A common stock | 4412.0 | $0 | 56436 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> | 2023-02-03 |  | A |  | 9888 |  | <sup>(6)</sup> | <sup>(6)</sup> | Class A common stock | 9888.0 | $0 | 66324 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> | 2023-02-03 |  | M |  |  | 2341 | <sup>(7)</sup> | <sup>(7)</sup> | Class A common stock | 2341.0 | $0 | 63983 | D |  |
| Restricted Stock Unit | <sup>(4)</sup> | 2023-02-03 |  | M |  |  | 15000 | <sup>(8)</sup> | <sup>(8)</sup> | Class A common stock | 15000.0 | $0 | 48983 | D |  |

---

### Footnotes:

(1) 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.

(2) Shares of Class A common stock withheld for tax by the Issuer in accordance with the Issuer's Amended and Restated 2015 Management Incentive Plan.

(3) 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 $19.4164.

(4) 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.

(5) The RSUs vested on August 12, 2022.

(6) The RSUs vest in three equal annual installments on February 3, 2024, February 3, 2025, and February 3, 2026.

(7) The RSUs vested on February 3, 2023.

(8) The RSUs vested on February 3, 2023. An additional 30,000 RSUs will vest in equal installments on February 3, 2024 and February 3, 2025.

**Signature:** /s/ Justin Waldie, as Attorney-in-Fact  
**Date:** 2023-02-07

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**