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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Temasek Holdings (Private) Ltd 60B ORCHARD ROAD #06-18 TOWER 2 THE ATRIUM@ORCHARD SINGAPORE, U0 238891 |
X |
/s/ Christina Choo, Authorized Signatory, on behalf of Temasek Holdings (Private) Limited | 05/15/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This sale was made pursuant to a prospectus filed by Virtu Financial, Inc. (the "Issuer") with the Securities and Exchange Commission on May 11, 2018, in connection with the offering of an aggregate of 17,250,000 Class A Shares of the Issuer's common stock ("Class A Shares") (consisting of a base deal of 15,000,000 Class A Shares and an additional 2,250,000 Class A Shares sold pursuant to the underwriters' option to purchase additional shares). The shares sold were previously held by Havelock Fund Investments Pte Ltd ("Havelock") and sold in the offering on May 15, 2018 for cash consideration of $27.16 per share. |
(2) | Havelock directly owns 8,867,682 Class A Shares. Havelock is wholly owned by Fullerton Fund Investments Pte. Ltd. ("FFI"). FFI may be deemed to beneficially own the shares beneficially owned by Havelock. Aranda Investments Pte. Ltd. ("Aranda") directly owns 8,012,821 shares of Issuer's Class A common stock. 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 8,012,821 Class A Shares beneficially owned by Aranda. Each of Temasek Capital and FFI are wholly owned by Temasek Holdings (Private) Limited ("Temasek"). Therefore, Temasek may be deemed to beneficially own the 16,880,503 Class A Shares deemed to be beneficially owned in the aggregate by Temasek Capital and FFI. |