0001104659-21-143558.txt : 20211124 0001104659-21-143558.hdr.sgml : 20211124 20211124161100 ACCESSION NUMBER: 0001104659-21-143558 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211122 FILED AS OF DATE: 20211124 DATE AS OF CHANGE: 20211124 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: 211446561 MAIL ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP Lake Co-Invest, L.P. CENTRAL INDEX KEY: 0001606112 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446552 BUSINESS ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 399 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 878-3500 MAIL ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 399 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reverence Capital Partners Opportunities Fund I (AI), L.P. CENTRAL INDEX KEY: 0001621529 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446554 BUSINESS ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-804-8025 MAIL ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Reverence Capital Partners Opportunities Fund I (AI),L.P. DATE OF NAME CHANGE: 20141006 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reverence Capital Partners Opportunities Fund I, L.P. CENTRAL INDEX KEY: 0001621530 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446556 BUSINESS ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-804-8025 MAIL ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reverence Capital Partners Opportunities Fund I (Cayman), L.P. CENTRAL INDEX KEY: 0001621531 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446555 BUSINESS ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-804-8025 MAIL ADDRESS: STREET 1: C/O REVERENCE CAPITAL PARTNERS LLC STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reverence Capital Partners LLC CENTRAL INDEX KEY: 0001731602 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446560 BUSINESS ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 804 8025 MAIL ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP GenPar HoldCo LLC CENTRAL INDEX KEY: 0001731503 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446559 BUSINESS ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 804 8025 MAIL ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP GenPar LP CENTRAL INDEX KEY: 0001731545 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446558 BUSINESS ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 804 8025 MAIL ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP Opp Fund I GP, L.P. CENTRAL INDEX KEY: 0001731553 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446557 BUSINESS ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212804 8025 MAIL ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RCP Co-Invest GP LLC CENTRAL INDEX KEY: 0001731555 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 211446553 BUSINESS ADDRESS: STREET 1: C/O REVERENCE STREET 2: 477 MADISON AVENUE, 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 804 8025 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 tm2133839-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-11-22 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001729927 Berlinski Milton R. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001731602 Reverence Capital Partners LLC C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001731503 RCP GenPar HoldCo LLC C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001731545 RCP GenPar LP C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001731553 RCP Opp Fund I GP, L.P. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001621530 Reverence Capital Partners Opportunities Fund I, L.P. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001621531 Reverence Capital Partners Opportunities Fund I (Cayman), L.P. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001621529 Reverence Capital Partners Opportunities Fund I (AI), L.P. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001731555 RCP Co-Invest GP LLC C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 0001606112 RCP Lake Co-Invest, L.P. C/O REVERENCE CAPITAL PARTNERS LLC 590 MADISON AVE. NEW YORK NY 10022 1 0 1 0 Class A Common Stock 2021-11-22 4 C 0 307385 A 307385 I See Footnotes Class A Common Stock 2021-11-22 4 C 0 255571 A 255571 I See Footnotes Class A Common Stock 2021-11-22 4 C 0 4915 A 4915 I See Footnotes Class A Common Stock 2021-11-22 4 C 0 295898 A 295898 I See Footnotes Class A Common Stock 2021-11-22 4 S 0 307385 34.00 D 0 I See Footnotes Class A Common Stock 2021-11-22 4 S 0 255571 34.00 D 0 I See Footnotes Class A Common Stock 2021-11-22 4 S 0 4915 34.00 D 0 I See Footnotes Class A Common Stock 2021-11-22 4 S 0 295898 34.00 D 0 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 3148685 A 3148685 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 2617925 A 2617925 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 50344 A 50344 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 3031017 A 3031017 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 184231 A 184231 I See Footnotes Class A Common Stock 2021-11-23 4 C 0 294225 A 294225 D Class B Common Stock 2021-11-22 4 C 0 307385 D Class A Common Stock 307385 3148685 I See Footnotes Class B Common Stock 2021-11-22 4 C 0 255571 D Class A Common Stock 255571 2617925 I See Footnotes Class B Common Stock 2021-11-22 4 C 0 4915 D Class A Common Stock 4915 50344 I See Footnotes Class B Common Stock 2021-11-22 4 C 0 295898 D Class A Common Stock 295898 3031017 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 3148685 D Class A Common Stock 3148685 0 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 2617925 D Class A Common Stock 2617925 0 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 50344 D Class A Common Stock 50344 0 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 3031017 D Class A Common Stock 3031017 0 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 184231 D Class A Common Stock 184231 0 I See Footnotes Class B Common Stock 2021-11-23 4 C 0 294225 D Class A Common Stock 294225 0 D Reflects the conversion of shares of Class B Common Stock of the Issuer ("Class B Shares") into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis. Class B Shares are convertible into Class A Shares on a one-for-one basis at any time by the holder and have no expiration date. Reflects the sale of Class A Shares by certain of the Reporting Persons in connection with a secondary offering of the Issuer pursuant to an underwriting agreement, dated November 17, 2021, at a public offering price of $34.00 per Class A Share (the "Secondary Offering"). The Secondary Offering closed on November 22, 2021. The material terms of the Secondary Offering are described in the prospectus supplement, dated November 17, 2021, filed with by the Issuer with the Securities and Exchange Commission on November 18, 2021. Shares owned directly by Reverence Capital Partners Opportunities Fund I, L.P. (and together with Reverence Capital Partners Opportunities Fund I (Cayman), L.P. and Reverence Capital Partners Opportunities Fund I (AI), L.P., the "Reverence Capital Funds") Shares owned directly by Reverence Capital Partners Opportunities Fund I (Cayman), L.P. Shares owned directly by Reverence Capital Partners Opportunities Fund I (AI), L.P. Shares owned directly by RCP Lake Co-Invest, L.P. RCP Co-Invest GP LLC is the general partner of RCP Lake Co-Invest, L.P. Reverence Capital Partners LLC is the managing member of RCP Co-Invest GP LLC. Each of Reverence Capital Partners LLC and RCP Co-Invest GP LLC may be deemed to have beneficial ownership of the shares owned directly by RCP Lake Co-Invest, L.P. RCP Opp Fund I GP, L.P. is the general partner of each of the Reverence Capital Funds. RCP GenPar LP is the general partner of RCP Opp Fund I GP, L.P. RCP GenPar HoldCo LLC is the general partner of RCP GenPar LP. Mr. Berlinski is the sole member of RCP GenPar HoldCo LLC. Each of Mr. Berlinski, RCP GenPar HoldCo LLC, RCP GenPar LP and RCP Opp Fund I GP, L.P. may be deemed to have beneficial ownership of the shares owned directly by the Reverence Capital Funds. Shares owned directly by MRB ICBC LLC, an entity which Mr. Berlinski controls. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. On November 19, 2021, the Issuer held a special meeting of stockholders at which the stockholders approved an amendment to the Issuer's certificate of incorporation to convert all outstanding shares of Class B Shares into an equal number of shares of Class A Shares on a one-for-one basis (the "Conversion"). The Conversion was effected on November 23, 2021, upon the Issuer's filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. /s/ Milton Berlinski 2021-11-24 EX-99.1 2 tm2133839d1_ex99-1.htm EXHIBIT 99.1

 

Exhibit 99.1

 

Joint Filer Information

 

Each of the following joint filers has designated Milton R. Berlinski as the “Designated Filer” for purposes of the attached Form 4:

 

1.

Reverence Capital Partners LLC

590 Madison Ave.

New York, NY 10022

2.

RCP GenPar HoldCo LLC

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

3.

RCP GenPar LP

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

4.

RCP Opp Fund I GP, L.P.

c/o Reverence Capital Partners

477 Madison Ave., 23rd Floor

New York, NY 10022

5.

Reverence Capital Partners Opportunities Fund I, L.P.

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

6.

Reverence Capital Partners Opportunities Fund I (Cayman) L.P.

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

7.

Reverence Capital Partners Opportunities Fund I (AI), L.P.

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

8.

RCP Co-Invest GP LLC

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

9.

RCP Lake Co-Invest, L.P.

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

10.

Milton R. Berlinski

c/o Reverence Capital Partners

590 Madison Ave.

New York, NY 10022

 

 

 

 

REVERENCE CAPITAL PARTNERS LLC  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
RCP GENPAR HOLDCO, LLC  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
RCP GENPAR LP  
By: RCP GenPar HoldCo LLC,  
its general partner  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
RCP OPP FUND I GP, L.P.  
By: RCP GenPar LP, its general partner  
By: RCP GenPar HoldCo LLC, its general partner  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
REVERENCE CAPITAL PARTNERS  
OPPORTUNITIES FUND I, L.P.  
By: RCP Opp Fund I GP, L.P.,  
its general partner  
By: RCP GenPar LP,  
its general partner  
By: RCP GenPar HoldCo LLC,  
its general partner  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  

 

- 2 -

 

 

REVERENCE CAPITAL PARTNERS  
OPPORTUNITIES FUND I (CAYMAN),  
L.P.  
By: RCP Opp Fund I GP, L.P.,  
its general partner  
By: RCP GenPar LP,  
its general partner  
By: RCP GenPar HoldCo LLC,  
its general partner  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
REVERENCE CAPITAL PARTNERS  
OPPORTUNITIES FUND I (AI), L.P.  
By: RCP Opp Fund I GP, L.P.,  
its general partner  
By: RCP GenPar LP,  
its general partner  
By: RCP GenPar HoldCo LLC,  
its general partner  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
RCP CO-INVEST GP, LLC  
By: Reverence Capital Partners LLC,  
its managing member  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
RCP LAKE CO-INVEST, L.P.  
By: RCP Lake Co-Invest GP LLC,  
its general partner  
By: Reverence Capital Partners LLC,  
its managing member  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  
   
/s/ Milton Berlinski 11/24/2021  
** Signature of Reporting Person Date  

 

- 3 -