0001104659-18-029986.txt : 20180502 0001104659-18-029986.hdr.sgml : 20180502 20180502212800 ACCESSION NUMBER: 0001104659-18-029986 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180430 FILED AS OF DATE: 20180502 DATE AS OF CHANGE: 20180502 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: 18801542 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 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 2018-04-30 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001730118 Policarpo Michael Dennis C/O VICTORY CAPITAL HOLDINGS, INC. 4900 TIEDEMAN ROAD 4TH FLOOR BROOKLYN OH 44144 0 1 0 0 Chief Operating Officer Stock Option (right to buy) 2.45 2018-04-30 4 A 0 8087 0.00 A 2018-04-30 2023-07-31 Class B Common Stock 8087 179719 D Stock Option (right to buy) 2.45 2018-04-30 4 A 0 1655 0.00 A 2018-04-30 2024-02-05 Class B Common Stock 1655 36790 D Stock Option (right to buy) 4.73 2018-04-30 4 A 0 1407 0.00 A 2018-04-30 2024-12-17 Class B Common Stock 1407 31284 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 2087 0.00 A 2018-04-30 2026-03-11 Class B Common Stock 2087 46374 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 6957 0.00 A 2018-04-30 2026-04-15 Class B Common Stock 6957 154582 D Stock Option (right to buy) 13.52 2018-04-30 4 A 0 2998 0.00 A 2018-04-30 2027-03-10 Class B Common Stock 2998 61284 D On July 31, 2013, the reporting person was granted an option to purchase 179,719 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 8,087 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 171,632 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018 (the "Form 3") due to a rounding error. On February 5, 2014, the reporting person was granted an option to purchase 36,790 shares of Class B Common Stock (after giving effect to the Stock Split). 1,655 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 35,135 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On December 17, 2014, the reporting person was granted an option to purchase 31,284 shares of Class B Common Stock (after giving effect to the Stock Split). 1,407 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 29,877 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On March 11, 2016, the reporting person was granted an option to purchase 46,374 shares of Class B Common Stock (after giving effect to the Stock Split). 2,087 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 44,287 of the shares have vested or will vest based on the passage of time. On April 15, 2016, the reporting person was granted an option to purchase 154,582 shares of Class B Common Stock (after giving effect to the Stock Split). 6,957 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 147,625 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. On March 10, 2017, the reporting person was granted an option to purchase 66,613 shares of Class B Common Stock (after giving effect to the Stock Split). 8,327 of the shares vest based on the satisfaction of certain performance criteria, which were met for 2,998 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously 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 2018-05-02