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