0001104659-20-003536.txt : 20200113
0001104659-20-003536.hdr.sgml : 20200113
20200113184118
ACCESSION NUMBER: 0001104659-20-003536
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: Gupta Nina
CENTRAL INDEX KEY: 0001729988
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 20524665
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
2019-08-31
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001729988
Gupta Nina
C/O VICTORY CAPITAL HOLDINGS, INC.
4900 TIEDEMAN ROAD 4TH FLOOR
BROOKLYN
OH
44144
0
1
0
0
Chief Legal Officer
Stock Option (right to buy)
8.09
2019-08-31
4
A
0
3284
0.00
A
2019-08-31
2026-07-29
Class B Common Stock
3284
70442
D
Stock Option (right to buy)
13.52
2019-08-31
4
A
0
832
0.00
A
2019-08-31
2027-03-10
Class B Common Stock
832
17856
D
Stock Option (right to buy)
13.52
2019-08-31
4
A
0
666
0.00
A
2019-08-31
2027-07-31
Class B Common Stock
666
14286
D
Stock Option (right to buy)
14.27
2019-08-31
4
A
0
2336
0.00
A
2019-08-31
2028-01-01
Class B Common Stock
2336
15184
D
Stock Option (right to buy)
8.09
2019-09-22
4
A
0
2555
0.00
A
2019-09-22
2026-07-29
Class B Common Stock
2555
72997
D
Stock Option (right to buy)
13.52
2019-09-22
4
A
0
647
0.00
A
2019-09-22
2027-03-10
Class B Common Stock
647
18503
D
Stock Option (right to buy)
13.52
2019-09-22
4
A
0
517
0.00
A
2019-09-22
2027-07-31
Class B Common Stock
517
14803
D
Stock Option (right to buy)
14.27
2019-09-22
4
A
0
2335
0.00
A
2019-09-22
2028-01-01
Class B Common Stock
2335
17519
D
On July 29, 2016, the reporting person was granted an option to purchase 72,997 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")). 9,123 of the shares vest based on the satisfaction of certain performance criteria, which were met for 3,284 shares as previously reported on April 30, 2018, an additional 3,248 shares on August 31, 2019 and an additional 2,556 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 reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, as amended May 2, 2018 (the "Form 3"), 63,874 of the shares have vested or will vest based on the passage of time.
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 as previously reported on April 30, 2018, and additional 832 shares on August 31, 2019 and an additional 647 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, 16,192 of the shares have vested or will vest based on the passage of time.
On July 31, 2017, the reporting person was granted an option to purchase 14,803 shares of Class B Common Stock (after giving effect to the Stock Split). 1,849 of the shares vest based on the satisfaction of certain performance criteria, which were met for 666 shares as previously reported on April 30, 2018, an additional 666 shares on August 31, 2019 and an additional 517 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, 12,954 of the shares have vested or will vest based on the passage of time.
On January 1, 2018, the reporting person was granted an option to purchase 17,519 shares of Class B Common Stock (after giving effect to the Stock Split). 7,007 of the shares vest based on the satisfaction of certain performance criteria, which were met for 2,336 shares as previously reported on April 30, 2018, 2,336 shares on August 31, 2019 and an additional 2,335 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, 10,512 of the shares have vested or will vest based on the passage of time.
/s/ Nina Gupta,
2020-01-13