0001209191-20-050093.txt : 20200911
0001209191-20-050093.hdr.sgml : 20200911
20200911083642
ACCESSION NUMBER: 0001209191-20-050093
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200909
FILED AS OF DATE: 20200911
DATE AS OF CHANGE: 20200911
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cliff Kelly Stevenson
CENTRAL INDEX KEY: 0001730106
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 201170016
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
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
2020-09-09
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001730106
Cliff Kelly Stevenson
15935 LA CANTERA PARKWAY
SAN ANTONIO
TX
78256
0
1
0
0
Pres., Investment Franchises
Class B Common Stock
2020-09-09
4
S
0
3989
17.28
D
Class A Common Stock
3989
479201
D
The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock.
In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Cliff each share of Class B Common Stock held by Mr. Cliff or Mr. Cliff's permitted estate planning entities will convert into one share of Class A Common Stock.
These shares were sold in multiple transactions at prices ranging from $17.22 to $17.35, inclusive. The price reported in Column 8 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (3) to this Form 4.
/s/ Nina Gupta, attorney-in-fact for Mr. Cliff
2020-09-11