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