0001104659-20-003535.txt : 20200113 0001104659-20-003535.hdr.sgml : 20200113 20200113184042 ACCESSION NUMBER: 0001104659-20-003535 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190831 FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Policarpo Michael Dennis CENTRAL INDEX KEY: 0001730118 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 20524664 MAIL ADDRESS: STREET 1: 4900 TIEDMAN 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 2019-08-31 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001730118 Policarpo Michael Dennis C/O VICTORY CAPITAL HOLDINGS, INC. 4900 TIEDEMAN ROAD 4TH FLOOR BROOKLYN OH 44144 0 1 0 0 President, CFO and CAO Stock Option (right to buy) 13.52 2019-08-31 4 A 0 2998 0.00 A 2019-08-31 2027-03-10 Class B Common Stock 2998 64282 D Stock Option (right to buy) 13.52 2019-09-22 4 A 0 2331 0.00 A 2019-09-22 2027-03-10 Class B Common Stock 2391 66613 D On March 10, 2017, the reporting person was granted an option to purchase 66,613 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")). 8,327 of the shares vest based on the satisfaction of certain performance criteria, which were as previously reported met for 2,998 shares on April 30, 2018, were met for an additional 2,998 shares on August 31, 2019 and an additional 2,331 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 58,286 of the shares have vested or will vest based on the passage of time. /s/ Nina Gupta, attorney-in-fact for Mr. Policarpo 2020-01-13