What changed in this filing

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Item 9A. Controls and Procedures

2022-02-18 compared with 2021-02-25 · 51 added, 15 removed, 225 unchanged (23% of the section changed)

76 unchanged sentences

333-219110) filed on June 30, 2017).

10.2† Form of Restricted Stock Unit and Common Stock Award Agreement (incorporated herein by reference to Exhibit 4.4 to the Company’s Registration Statement on Form S-8 (File No.

333-219110) filed on June 30, 2017).

10.2† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Form of Restricted Stock Unit and Common Stock Award Agreement (incorporated herein by reference to Exhibit 10.4 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.3† Form of Indemnification Agreement (incorporated herein by reference to Exhibit 10.2 to the Company’s Amendment No.

1 unchanged sentence

333-194473) filed on February 20, 2015).

10.4*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Form Employee Restricted Stock Unit and Common Stock Award Agreement.

10.4† Amended and Restated Employment Agreement, dated as of November 15, 2017, by and between Virtu Financial, Inc.

1 unchanged sentence

001-37352) filed on March 13, 2018).

10.5*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of January 24, 2020, by and between Virtu Financial, Inc.

and Douglas A.

10.6*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of January 24, 2020, by and between Virtu Financial, Inc.

and Brett Fairclough .

10.7*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of January 24, 2020, by and between Virtu Financial, Inc.

and Stephen Cavoli.

10.8† Employment Agreement, dated as of August 7, 2020, by and between Virtu Financial Operating LLC and Sean Galvin (incorporated herein by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q (File No.

6 unchanged sentences

001-37352) filed on May 11, 2020.

10.9 Amendment No.

2 dated March 2, 2020 to Credit Agreement, dated March 1, 2019, among Virtu Financial LLC, as Holdings, Impala Borrower LLC, as Acquisition Borrower, VFH Parent LLC, as Refinancing Borrower, the Lenders, Issuing Banks and Swingline Lender Party Hereto, and Jefferies Finance LLC, as Administrative Agent, and Jefferies Finance LLC and RBC Capital Markets, as Joint Lead Arrangers and Joint Bookrunners (incorporated herein by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q (File No.

001-37352) filed on May 11, 2020 .

10.11* Credit Agreement, dated January 13, 2022, among Virtu Financial LLC, as Holdings, VFH Parent LLC, as Borrower, the Lenders, Issuing Banks and Swingline Lender Party Hereto, and JPMorgan Chase Bank, N.A., as Administrative Agent, and Jefferies Finance LLC and RBC Capital Markets, as Joint Lead Arrangers and Joint Bookrunners .

10.12 Loan Agreement Dated as of March 20, 2020 among Virtu Americas LLC, the Lenders from time to time party hereto and TJMT Holdings LLC, as Administrative Agent (incorporated herein by reference to Exhibit 99.19 to the Form 13D/A (File No.

69 unchanged sentences

and Douglas A.

Cifu (incorporated herein by reference to Exhibit 10.33 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.36† Virtu Financial, Inc.

1 unchanged sentence

and Douglas A.

Cifu (incorporated herein by reference to Exhibit 10.34 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.37† Virtu Financial, Inc.

2015 Amended and Restated Management Incentive Plan Restricted Stock Unit Award Agreement, dated as of June 22, 2020, by and between Virtu Financial, Inc.

and Joseph Molluso.

and Joseph Molluso (incorporated herein by reference to Exhibit 10.35 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.38† Virtu Financial, Inc.

2015 Amended and Restated Management Incentive Plan Restricted Stock Award Award Agreement, dated as of June 22, 2020, by and between Virtu Financial, Inc.

and Joseph Molluso.

and Joseph Molluso (incorporated herein by reference to Exhibit 10.36 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.39† Virtu Financial, Inc.

2015 Amended and Restated Management Incentive Plan Restricted Stock Unit and Common Stock Award Agreement, dated as of February 1, 2021, by and between Virtu Financial, Inc.

and Joseph Molluso.

and Joseph Molluso (incorporated herein by reference to Exhibit 10.37 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.40† Virtu Financial, Inc.

2015 Amended and Restated Management Incentive Plan Restricted Stock Unit and Common Stock Award Agreement, dated as of February 1, 2021, by and between Virtu Financial, Inc.

and Brett Fairclough.

and Brett Fairclough (incorporated herein by reference to Exhibit 10.38 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.41† Virtu Financial, Inc.

2015 Amended and Restated Management Incentive Plan Restricted Stock Unit and Common Stock Award Agreement, dated as of February 1, 2021, by and between Virtu Financial, Inc.

and Stephen Cavoli (incorporated herein by reference to Exhibit 10.39 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021).

10.42*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit Award Agreement, dated as of December 24, 2021, by and between Virtu Financial, Inc.

and Douglas A.

10.43*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Douglas A.

10.44*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Joseph Molluso.

10.45*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Sean Galvin.

10.46*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Sean Galvin.

10.47*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Brett Fairclough.

10.48*† Virtu Financial, Inc.

Amended and Restated 2015 Management Incentive Plan Employee Restricted Stock Unit and Common Stock Award Agreement, dated as of February 3, 2022, by and between Virtu Financial, Inc.

and Stephen Cavoli.

10.49† Virtu Financial, Inc.

Deferred Compensation Plan

Deferred Compensation Plan (incorporated herein by reference to Exhibit 10.40 to the Company’s Annual Report on Form 10-K (File No.

001-37352) filed on February 25, 2021)

21.1* Subsidiaries of Virtu Financial, Inc.

40 unchanged sentences

/s/ Joseph J.

/s/ Glenn Hutchins Director

Glenn Hutchins

/s/ Joanne Minieri Director

Joanne Minieri

Nixon Director

1 unchanged sentence

Christopher Quick

Sandner Director

/s/ David Urban Director

2 unchanged sentences

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures