0001209191-20-054668.txt : 20201013
0001209191-20-054668.hdr.sgml : 20201013
20201013165539
ACCESSION NUMBER: 0001209191-20-054668
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201012
FILED AS OF DATE: 20201013
DATE AS OF CHANGE: 20201013
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Berlinski Milton R.
CENTRAL INDEX KEY: 0001729927
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 201236933
MAIL ADDRESS:
STREET 1: C/O REVERENCE
STREET 2: 477 MADISON AVENUE, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
2020-10-12
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001729927
Berlinski Milton R.
C/O VICTORY CAPITAL HOLDINGS, INC.
15935 LA CANTERA PARKWAY
SAN ANTONIO
TX
78256
1
0
0
0
Class B Common Stock
2020-10-12
4
A
0
1319
18.94
A
Class A Common Stock
1319
290829
D
Class B Common Stock
Class A Common Stock
184231
184231
I
See Footnote
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. Berlinski, shares of Class B Common Stock held by Mr. Berlinski or Mr. Berlinski's permitted estate planning entities will convert into Class A Common Stock.
These shares of Class B Common Stock were issued to Mr. Berlinski at the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000. The price of the derivative security is based on the closing price of the Company's shares on October 12, 2020.
These securities are held directly by MRB ICBC LLC, an entity which Mr. Berlinski controls.
/s/ Nina Gupta, attorney-in-fact for Mr. Berlinski
2020-10-13