SEC Form 4 · accession 0000883237-18-000007
VIRTUS INVESTMENT PARTNERS, INC. · VRTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George R Aylward
Officer — Director, CEO and President · Director
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 5:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000883237
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 13, 2018 | M | 19,521 | $31.38 | A | 174,325 | D | |
| Common StockF2,F3 | Feb 13, 2018 | F | 10,590 | $123.50 | D | 163,735 | D | |
| Common Stock | holding | — | — | — | 70 | I | By 401k |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $31.38 | Feb 13, 2018 | M | 19,521 | D | Feb 13, 2011 | Feb 13, 2018 | Common Stock | 19,521 | 0 | D |
Explanation of responses
- F1Acquisition of common stock upon exercise of expiring employee stock options.
- F2Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy option exercise price and tax withholding obligations.
- F3This number includes (i) 1,442.104 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii)14,686 RSUs that are scheduled to cliff vest on March 15, 2019; and (iii) 10,275 RSUs that are scheduled to cliff vest on March 15, 2020. RSUs will be settled for shares of common stock on a one-for-one basis upon vesting.