0001104659-18-029987.txt : 20180502 0001104659-18-029987.hdr.sgml : 20180502 20180502212815 ACCESSION NUMBER: 0001104659-18-029987 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180430 FILED AS OF DATE: 20180502 DATE AS OF CHANGE: 20180502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown David Craig CENTRAL INDEX KEY: 0001730370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 18801544 MAIL ADDRESS: STREET 1: 4900 TIEDEMAN ROAD CITY: BROOKLYN STATE: OH ZIP: 44144 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 CITY: BROOKLYN STATE: OH ZIP: 44144 BUSINESS PHONE: 216-898-2400 MAIL ADDRESS: STREET 1: 4900 TIEDEMANN ROAD CITY: BROOKLYN STATE: OH ZIP: 44144 4 1 a4.xml 4 X0306 4 2018-04-30 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001730370 Brown David Craig C/O VICTORY CAPITAL HOLDINGS, INC. 4900 TIEDEMAN ROAD 4TH FLOOR BROOKLYN OH 44144 1 1 0 0 Chairman and CEO Stock Option (right to buy) 2.45 2018-04-30 4 A 0 17330 0.00 A 2018-04-30 2023-07-31 Class B Common Stock 17330 385112 D Stock Option (right to buy) 2.45 2018-04-30 4 A 0 3942 0.00 A 2018-04-30 2024-02-05 Class B Common Stock 3942 87597 D Stock Option (right to buy) 4.73 2018-04-30 4 A 0 1830 0.00 A 2018-04-30 2024-12-17 Class B Common Stock 1830 40670 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 2782 0.00 A 2018-04-30 2026-03-11 Class B Common Stock 2782 61833 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 11593 0.00 A 2018-04-30 2026-04-15 Class B Common Stock 11593 257638 D Stock Option (right to buy) 13.52 2018-04-30 4 A 0 832 0.00 A 2018-04-30 2027-03-10 Class B Common Stock 832 17024 D On July 31, 2013, the reporting person was granted an option to purchase 385,112 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 17,330 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018 (the "Form 3"), 367,782 of the shares have vested or will vest based on the passage of time. On February 5, 2014, the reporting person was granted an option to purchase 87,597 shares of Class B Common Stock (after giving effect to the Stock Split). 3,942 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 83,655 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On December 17, 2014, the reporting person was granted an option to purchase 40,670 shares of Class B Common Stock (after giving effect to the Stock Split). 1,830 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 38,840 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On March 11, 2016, the reporting person was granted an option to purchase 61,833 shares of Class B Common Stock (after giving effect to the Stock Split). 2,782 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 59,051 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. On April 15, 2016, the reporting person was granted an option to purchase 257,638 shares of Class B Common Stock (after giving effect to the Stock Split). 11,593 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 246,045 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to the Stock Split). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 16,192 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. /s/ Nina Gupta, attorney-in-fact for Mr. Brown 2018-05-02