0000950103-20-013625.txt : 20200714 0000950103-20-013625.hdr.sgml : 20200714 20200714161310 ACCESSION NUMBER: 0000950103-20-013625 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200710 FILED AS OF DATE: 20200714 DATE AS OF CHANGE: 20200714 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestview Partners II GP, L.P. CENTRAL INDEX KEY: 0001505639 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027286 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 906-0723 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestview Victory, L.P. CENTRAL INDEX KEY: 0001703029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027287 BUSINESS ADDRESS: STREET 1: C/O CRESTVIEW PARTNERS STREET 2: 667 MADISON AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: 212-906-0700 MAIL ADDRESS: STREET 1: C/O CRESTVIEW PARTNERS STREET 2: 667 MADISON AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crestview Advisors, L.L.C. CENTRAL INDEX KEY: 0001559054 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027288 BUSINESS ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: 212-906-0700 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Binderow Alex J. CENTRAL INDEX KEY: 0001703019 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027289 MAIL ADDRESS: STREET 1: C/O CRESTVIEW ADVISORS, L.L.C. STREET 2: 667 MADISON AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DEMARTINI RICHARD M CENTRAL INDEX KEY: 0001189874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027290 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORP STREET 2: 9 WEST 57TH STREET NY1-301-48-02 CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HURST ROBERT J/NY CENTRAL INDEX KEY: 0001090366 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 201027291 MAIL ADDRESS: STREET 1: C/O GOLDMAN SACHS GROUP INC STREET 2: 85 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Victory Capital Holdings, Inc. CENTRAL INDEX KEY: 0001570827 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4900 TIEDEMANN ROAD STREET 2: 4TH FLOOR CITY: BROOKLYN STATE: OH ZIP: 44144 BUSINESS PHONE: 216-898-2400 MAIL ADDRESS: STREET 1: 4900 TIEDEMANN ROAD STREET 2: 4TH FLOOR CITY: BROOKLYN STATE: OH ZIP: 44144 4 1 dp132212_4-cp2gplp.xml FORM 4 X0306 4 2020-07-10 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001505639 Crestview Partners II GP, L.P. C/O CRESTVIEW PARTNERS 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 1 0 0001703029 Crestview Victory, L.P. C/O CRESTVIEW PARTNERS 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 1 0 0001559054 Crestview Advisors, L.L.C. C/O CRESTVIEW PARTNERS 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 1 0 0001703019 Binderow Alex J. C/O CRESTVIEW ADVISORS, L.L.C. 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 0 0 0001189874 DEMARTINI RICHARD M C/O CRESTVIEW ADVISORS, L.L.C. 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 0 0 0001090366 HURST ROBERT J/NY C/O CRESTVIEW ADVISORS, L.L.C. 590 MADISON AVENUE, 42ND FLOOR NEW YORK NY 10022 1 0 0 0 Class B Common Stock 2020-07-10 4 A 0 2666 18.75 A Class A Common Stock 2666 35257300 I See Footnotes Class B Common Stock 2020-07-10 4 A 0 1333 18.75 A Class A Common Stock 1333 3082 I See Footnotes Reflects shares of Class B Common Stock of the Issuer ("Class B Shares") which are convertible into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis at any time by the holder and have no expiration date. Class B Shares will convert automatically into Class A Shares on the date on which the number of outstanding Class B Shares represents less than 10% of the aggregate combined number of outstanding Class A Shares and Class B Shares. In addition, each Class B Share will convert automatically into one Class A Share upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended restated certificate of incorporation. Reflects the issuance of 1,333 restricted Class B Shares under the Issuer's 2018 Stock Incentive Plan (the "Plan") to each of Alex J. Binderow and Richard M. DeMartini in lieu of quarterly director fees for service on the Issuer's Board of Directors payable in cash to each of Messrs. Binderow and DeMartini in the amount of $25,000. The Class B Shares were fully-vested as of the date of issuance. The price of the Class B Shares is based on the closing price of a Class A Share on July 10, 2020. Each of Messrs. Binderow and DeMartini has assigned all rights, title and interest in the Class B Shares issued to them to Crestview Advisors, L.L.C. Reflects the issuance of 1,333 restricted Class B Shares under the Plan to Robert J. Hurst in lieu of quarterly director fees for service on the Issuer's Board of Directors payable in cash to Mr. Hurst in the amount of $25,000. The Class B Shares were fully-vested as of the date of issuance. The price of the Class B Shares is based on the closing price of a Class A Share on July 10, 2020. Reflects (i) Class B Shares beneficially owned by Crestview Victory L.P. and (ii) Class B Shares beneficially owned by Crestview Advisors, L.L.C. (including those Class B Shares that were delivered pursuant to the assignment described in Footnote 2 above). Reflects Class B Shares directly beneficially owned by Mr. Hurst. Crestview Partners II GP, L.P. ("Crestview GP") exercises voting and dispositive power over the shares held directly by Crestview Victory. Decisions by Crestview GP to vote or dispose of such shares require the approval of a majority of the members of its investment committee and the chairman of the investment committee. Crestview GP may be deemed to be the beneficial owner of the Class B Shares owned directly by Crestview Victory. Alex J. Binderow, Richard M. DeMartini and Robert J. Hurst are each members of the Issuer's board of directors. Mr. Binderow is a partner of Crestview, L.L.C. (which is the general partner of Crestview GP) and Crestview Advisors, L.L.C. (which provides investment advisory and management services to certain Crestview entities). Mr. DeMartini is an indirect member of Crestview, L.L.C. and Crestview Advisors, L.L.C. Mr. Hurst is Vice Chairman of Crestview L.L.C. and Crestview Advisors, L.L.C. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein. Exhibit 99--Joint Filer Statement By: Crestview Partners II GP, L.P., the Designated Filer, by: Crestview, L.L.C., its general partner, by: /s/ Ross A. Oliver, General Counsel 2020-07-14 EX-99 2 dp132212_ex99.htm EXHIBIT 99

 

Exhibit 99

 

Joint Filer Information

 

Each of the following joint filers has designated Crestview Partners II GP, L.P. as the “Designated Filer” for purposes of the attached Form 4:

 

1.

Crestview Victory, L.P.

c/o Crestview Partners 

590 Madison Avenue, 42nd Floor

New York, NY 10022 

2.

Crestview Advisors, L.L.C.

c/o Crestview Partners 

590 Madison Avenue, 42nd Floor

New York, NY 10022 

3.

Alex J. Binderow

c/o Crestview Advisors, L.L.C. 

590 Madison Avenue, 42nd Floor

New York, NY 10022 

4.

Richard M. DeMartini

c/o Crestview Advisors, L.L.C. 

590 Madison Avenue, 42nd Floor

New York, NY 10022 

5.

Robert J. Hurst

c/o Crestview Advisors, L.L.C. 

590 Madison Avenue, 42nd Floor

New York, NY 10022 

   

Date of Event Requiring Statement: July 10, 2020

Issuer Name and Ticker or Trading Symbol: Victory Capital Holdings, Inc.

 

CRESTVIEW VICTORY, L.P.

 

By:

/s/ Ross A. Oliver

  
  Name: Ross A. Oliver  
  Title: General Counsel  

 

CRESTVIEW ADVISORS, L.L.C.

 

By:

/s/ Ross A. Oliver

  
  Name: Ross A. Oliver  
  Title: General Counsel  

 

ALEX J. BINDEROW

 

By:

/s/ Ross A. Oliver, Attorney-in-Fact

  

 

RICHARD M. DEMARTINI

 

By:

/s/ Ross A. Oliver, Attorney-in-Fact

  

 

ROBERT J. HURST

 

By:

/s/ Ross A. Oliver, Attorney-in-Fact

  

 

Date: July 14, 2020