0001209191-22-047609.txt : 20220825 0001209191-22-047609.hdr.sgml : 20220825 20220825191058 ACCESSION NUMBER: 0001209191-22-047609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220824 FILED AS OF DATE: 20220825 DATE AS OF CHANGE: 20220825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Policarpo Michael Dennis CENTRAL INDEX KEY: 0001730118 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 221199168 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 2022-08-24 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001730118 Policarpo Michael Dennis 15935 LA CANTERA PARKWAY SAN ANTONIO TX 78256 0 1 0 0 President, CFO & CAO Common Stock 2022-08-24 4 M 0 179719 2.45 A 960211 D Common Stock 2022-08-24 4 M 0 36790 2.45 A 997001 D Common Stock 2022-08-24 4 M 0 31284 4.73 A 1028285 D Common Stock 2022-08-24 4 M 0 46374 7.52 A 1074659 D Common Stock 2022-08-24 4 M 0 154582 7.52 A 1229241 D Common Stock 2022-08-24 4 M 0 66613 13.52 A 1295854 D Common Stock 2022-08-24 4 F 0 293540 28.23 D 1002314 D Stock Option (right to buy) 2.45 2022-08-24 4 M 0 179719 0.00 D 2023-07-31 Common Stock 179719 0 D Stock Option (right to buy) 2.45 2022-08-24 4 M 0 36790 0.00 D 2024-02-05 Common Stock 36790 0 D Stock Option (right to buy) 4.73 2022-08-24 4 M 0 31284 0.00 D 2024-12-17 Common Stock 31284 0 D Stock Option (right to buy) 7.52 2022-08-24 4 M 0 46374 0.00 D 2026-03-11 Common Stock 46374 0 D Stock Option (right to buy) 7.52 2022-08-24 4 M 0 154582 0.00 D 2026-04-15 Common Stock 154582 0 D Stock Option (right to buy) 13.52 2022-08-24 4 M 0 66613 0.00 D 2027-03-10 Common Stock 66613 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 24, 2022. The net settlement price was the closing stock price on August 24, 2022. As reported on the reporting person's Form 4 filed with the Securities and Exchange Commission (the "SEC") on May 2, 2018, 8,087 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"), 171,632 of the shares were fully vested. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,655 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, 35,135 of the shares were fully vested. As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,407 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, 29,877 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, 2,087 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, 44,287 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, 6,957 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, 147,625 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, shares totaling 2,998, 2,998 and 2,331 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, 58,286 of the shares have vested or will vest based on the passage of time. /s/ Nina Gupta, attorney-in-fact for Mr. Policarpo 2022-08-25