0001104659-19-001608.txt : 20190111
0001104659-19-001608.hdr.sgml : 20190111
20190111153957
ACCESSION NUMBER: 0001104659-19-001608
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190110
FILED AS OF DATE: 20190111
DATE AS OF CHANGE: 20190111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hirtler-Garvey Karin
CENTRAL INDEX KEY: 0001336620
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 19522314
MAIL ADDRESS:
STREET 1: 112 W. 34TH STREET
CITY: NEW YORK
STATE: NY
ZIP: 10120
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
CITY: BROOKLYN
STATE: OH
ZIP: 44144
BUSINESS PHONE: 216-898-2400
MAIL ADDRESS:
STREET 1: 4900 TIEDEMANN ROAD
CITY: BROOKLYN
STATE: OH
ZIP: 44144
4
1
a4.xml
4
X0306
4
2019-01-10
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001336620
Hirtler-Garvey Karin
C/O VICTORY CAPITAL HOLDINGS, INC.
4900 TIEDEMAN ROAD 4TH FLOOR
BROOKLYN
OH
44144
1
0
0
0
Class B Common Stock
2019-01-10
4
A
0
568
11.00
A
Class A Common Stock
568
20407
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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock.
These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on January 10, 2019.
/s/ Nina Gupta, attorney-in-fact for Ms. Hirtler-Garvey
2019-01-11