0001209191-21-066659.txt : 20211123
0001209191-21-066659.hdr.sgml : 20211123
20211123202737
ACCESSION NUMBER: 0001209191-21-066659
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211123
FILED AS OF DATE: 20211123
DATE AS OF CHANGE: 20211123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rappaport Alan
CENTRAL INDEX KEY: 0001495443
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 211440776
MAIL ADDRESS:
STREET 1: C/O PIMCO
STREET 2: 650 NEWPORT CENTER DRIVE
CITY: NEWPORT BEACH
STATE: CA
ZIP: 92660
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-11-23
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001495443
Rappaport Alan
C/O VICTORY CAPITAL HOLDINGS, INC.
15935 LA CANTERA PARKWAY
SAN ANTONIO
TX
78256
1
0
0
0
Common Stock
2021-11-23
4
C
0
288861
A
298861
I
See Footnote
Common Stock
2021-11-23
4
C
0
131830
A
131830
D
Class B Common Stock
2021-11-23
4
C
0
131830
D
Class A Common Stock
131830
0
D
Class B Common Stock
2021-11-23
4
C
0
288861
D
Class A Common Stock
288861
0
I
See Footnote
On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware.
These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners.
/s/ Nina Gupta, attorney-in-fact for Mr. Rappaport
2021-11-23