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VRTS Virtus Investment Partners Inc

230.41
0.00 (0.00%)
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Virtus Investment Partners Inc NASDAQ:VRTS NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 230.41 225.80 235.02 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

19/08/2020 10:01pm

Edgar (US Regulatory)


FORM 4 [ ] 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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

PENA MARDELLE W
2. Issuer Name and Ticker or Trading Symbol

VIRTUS INVESTMENT PARTNERS, INC. [ VRTS ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP, Chief HR Officer
(Last)          (First)          (Middle)

C/O VIRTUS INVESTMENT PARTNERS, ONE FINANCIAL PLAZA
3. Date of Earliest Transaction (MM/DD/YYYY)

8/17/2020
(Street)

HARTFORD, CT 06103
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 8/17/2020  M  480 (1)A$25.51 14451 D  
Common Stock 8/17/2020  F  211 (2)D$143.18 14240 (3)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options $25.51 8/17/2020  M     480  8/16/2013 8/16/2020 Common Stock 480.0 $0 0 D  

Explanation of Responses:
(1) Acquisition of common stock upon exercise of employee stock options.
(2) Exempt disposition to the issuer under Rule 16b-3(e) to satisfy option exercise price and withholding taxes on exercise of employee stock options.
(3) This number includes (i) 2,548 RSUs that are scheduled to vest on March 15, 2021 (ii) 1,017 RSUs that are scheduled to vest on March 15, 2022 and (iii) 619 RSUs that are scheduled to vest on March 15, 2023.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
PENA MARDELLE W
C/O VIRTUS INVESTMENT PARTNERS
ONE FINANCIAL PLAZA
HARTFORD, CT 06103


EVP, Chief HR Officer

Signatures
/s/ Ronnie D. Kryjak, Attorney-in-Fact8/19/2020
**Signature of Reporting PersonDate

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