0000883237-19-000035.txt : 20190319 0000883237-19-000035.hdr.sgml : 20190319 20190319172132 ACCESSION NUMBER: 0000883237-19-000035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190315 FILED AS OF DATE: 20190319 DATE AS OF CHANGE: 20190319 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENA MARDELLE W CENTRAL INDEX KEY: 0001519506 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10994 FILM NUMBER: 19692558 MAIL ADDRESS: STREET 1: C/O VIRTUS INVESTMENT PARTNERS, INC. STREET 2: 100 PEARL STREET CITY: HARTFORD STATE: CT ZIP: 06103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS INVESTMENT PARTNERS, INC. CENTRAL INDEX KEY: 0000883237 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 263962811 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-263-4707 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX INVESTMENT PARTNERS LTD/CT DATE OF NAME CHANGE: 19990312 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX DUFF & PHELPS CORP DATE OF NAME CHANGE: 19951117 FORMER COMPANY: FORMER CONFORMED NAME: DUFF & PHELPS CORP DATE OF NAME CHANGE: 19930328 4 1 wf-form4_155303047737391.xml FORM 4 X0306 4 2019-03-15 0 0000883237 VIRTUS INVESTMENT PARTNERS, INC. VRTS 0001519506 PENA MARDELLE W C/O VIRTUS INVESTMENT PARTNERS ONE FINANCIAL PLAZA HARTFORD CT 06103 0 1 0 0 EVP, Human Resources Common Stock 2019-03-15 4 F 0 256 0 D 10381 D Common Stock 2019-03-15 4 A 0 215 0 A 10596 D Common Stock 2019-03-15 4 F 0 68 0 D 10528 D Common Stock 2019-03-15 4 A 0 766 0 A 11294 D Common Stock 2019-03-15 4 A 0 1195 0 A 12489 D Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2016 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied. These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2018 Long Term Incentive Plan, subject to a performance condition which has been satisfied. Subject to acceleration in certain circumstances, the RSUs are scheduled to cliff vest on March 15, 2021 and will be settled for shares of common stock on a one-for-one basis upon vesting. These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2019 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. This number includes (i) 1,996 RSUs that are scheduled to cliff vest on March 15, 2020 (ii) 1,930 RSUs that are scheduled to cliff vest on March 15, 2021 and (iii) 399 RSUs that are scheduled to cliff vest on March 15, 2022. /s/ Mark S. Flynn, Attorney-in-Fact 2019-03-19