0001209191-22-044351.txt : 20220803 0001209191-22-044351.hdr.sgml : 20220803 20220803205315 ACCESSION NUMBER: 0001209191-22-044351 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220801 FILED AS OF DATE: 20220803 DATE AS OF CHANGE: 20220803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown David Craig CENTRAL INDEX KEY: 0001730370 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 221134286 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 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 2022-08-01 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001730370 Brown David Craig 15935 LA CANTERA PARKWAY SAN ANTONIO TX 78256 0 1 0 0 Chairman and CEO Common Stock 2022-08-01 4 M 0 385112 2.45 A 2123552 D Common Stock 2022-08-01 4 M 0 87597 2.45 A 2211149 D Common Stock 2022-08-01 4 M 0 40670 4.73 A 2251819 D Common Stock 2022-08-01 4 M 0 61833 7.52 A 2313652 D Common Stock 2022-08-01 4 M 0 257638 7.52 A 2571290 D Common Stock 2022-08-01 4 M 0 18503 13.52 A 2589793 D Common Stock 2022-08-01 4 F 0 421656 28.02 D 2168137 D Stock Option (right to buy) 2.45 2022-08-01 4 M 0 385112 0.00 D 2023-07-31 Common Stock 385112 0 D Stock Option (right to buy) 2.45 2022-08-01 4 M 0 87597 0.00 D 2024-02-05 Common Stock 87597 0 D Stock Option (right to buy) 4.73 2022-08-01 4 M 0 40670 0.00 D 2024-12-17 Common Stock 40670 0 D Stock Option (right to buy) 7.52 2022-08-01 4 M 0 61833 0.00 D 2026-03-11 Common Stock 61833 0 D Stock Option (right to buy) 7.52 2022-08-01 4 M 0 257638 0.00 D 2026-04-15 Common Stock 257638 0 D Stock Option (right to buy) 13.52 2022-08-01 4 M 0 18503 0.00 D 2027-03-10 Common Stock 18503 0 D Represents shares withheld by VCTR to satisfy withholding taxes and option exercise price due in connection with the exercise of options on August 1, 2022. The net settlement price was the closing stock price on August 1, 2022. As reported on the reporting person's Form 4 filed with the Securities and Exchange Commission (the "SEC") on May 2, 2018, 17,330 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the reporting person's Form 3 filed with the SEC on February 7, 2018, (the "Form 3"), 367,782 of the shares were fully vested. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 3,942 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 83,655 of the shares were fully vested. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,830 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 38,840 of the shares have vested or will vest based on the passage of time. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 2,782 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 59,051 of the shares have vested or will vest based on the passage of time. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 11,593 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 246,045 of the shares have vested or will vest based on the passage of time. As reported on the reporting person's Form 4s filed with the SEC on May 2, 2018 and January 13, 2020, 832, 832 and 647 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018, August 31, 2019 and September 22, 2019, respectively. As reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. /s/ Nina Gupta, attorney-in-fact for Mr. Brown 2022-08-03