Statement of Changes in Beneficial Ownership (4)
August 14 2020 - 4:43PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WALTMAN FRANCIS G |
2. Issuer Name and Ticker or Trading Symbol
VIRTUS INVESTMENT PARTNERS, INC.
[
VRTS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Product Management |
(Last)
(First)
(Middle)
C/O VIRTUS INVESTMENT PARTNERS, ONE FINANCIAL PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/12/2020 |
(Street)
HARTFORD, CT 06103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 8/12/2020 | | S | | 4190 | D | $142.84 (1) | 33546.451 | D | |
Common Stock | 8/12/2020 | | S | | 3215 | D | $143.67 (2) | 30331.451 | D | |
Common Stock | 8/12/2020 | | S | | 1295 | D | $144.53 (3) | 29036.451 | D | |
Common Stock | 8/12/2020 | | S | | 800 | D | $146.72 (4) | 28236.451 | D | |
Common Stock | 8/12/2020 | | S | | 500 | D | $147.56 (5) | 27736.451 | D | |
Common Stock | 8/13/2020 | | S | | 3782 | D | $141.52 (6) | 23954.451 | D | |
Common Stock | 8/13/2020 | | S | | 4294 | D | $142.45 (7) | 19660.451 | D | |
Common Stock | 8/13/2020 | | S | | 1714 | D | $143.22 (8) | 17946.451 | D | |
Common Stock | 8/13/2020 | | S | | 110 | D | $144.61 (9) | 17836.451 | D | |
Common Stock | 8/13/2020 | | S | | 100 | D | $145.77 | 17736.451 (10) | D | |
Common Stock | | | | | | | | 108.533 | I | By 401k |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $142.160-$143.120 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnotes (1)-(9) to this Form 4. |
(2) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $143.160-$144.140 per share. |
(3) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $144.170-$144.990 per share. |
(4) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $146.530-$147.500 per share. |
(5) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $147.545-$147.600 per share. |
(6) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $141.000-$141.960 per share. |
(7) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $142.020-$142.960 per share. |
(8) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $143.020-$143.870 per share. |
(9) | The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $144.440-$145.320 per share. |
(10) | This number includes (i) 338.617 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 5,050 RSUs that are scheduled to vest on March 15, 2021 (iii) 1,986 RSUs that are scheduled to vest on March 15, 2022 and (iv) 1,198 RSUs that are scheduled to vest on March 15, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WALTMAN FRANCIS G C/O VIRTUS INVESTMENT PARTNERS ONE FINANCIAL PLAZA HARTFORD, CT 06103 |
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| EVP, Product Management |
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Signatures
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/s/ Ronnie D. Kryjak, Attorney-in-Fact | | 8/14/2020 |
**Signature of Reporting Person | Date |
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