SEC Form 4 · accession 0000883237-18-000092
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
Oct 29, 2018
Accepted (ET)
Oct 30, 2018 · 5:38 pm EDT
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,F2,F3 | Oct 29, 2018 | M | 5,000 | $9.40 | A | 194,590 | 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 | $9.40 | Oct 29, 2018 | M | 5,000 | A | Apr 20, 2012 | Apr 20, 2019 | Common Stock | 5,000 | 18,120 | D |
Explanation of responses
- F1Acquisition of common stock upon exercise of employee stock options.
- F2The aggregate option exercise price and associated payroll taxes were paid in cash.
- F3This number includes (i) 1,442.104 shares acquired in connection with the Issuer's Employee Stock Purchase Plan; (ii) 4,531 RSUs that are scheduled to cliff vest on February 22, 2019; (iii) 14,686 RSUs that are scheduled to cliff vest on March 15, 2019; (iv) 20,547 RSUs that are scheduled to cliff vest on March 15, 2020 and (v) 8,621 RSUs that are scheduled to cliff vest on March 15, 2021.