0001104659-18-029988.txt : 20180502 0001104659-18-029988.hdr.sgml : 20180502 20180502212845 ACCESSION NUMBER: 0001104659-18-029988 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: Cliff Kelly Stevenson CENTRAL INDEX KEY: 0001730106 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 18801545 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 0001730106 Cliff Kelly Stevenson C/O VICTORY CAPITAL HOLDINGS, INC. 4900 TIEDEMAN ROAD 4TH FLOOR BROOKLYN OH 44144 0 1 0 0 Pres., Investment Franchises Stock Option (right to buy) 4.73 2018-04-30 4 A 0 3380 0.00 A 2018-04-30 2024-09-08 Class B Common Stock 3380 75083 D Stock Option (right to buy) 5.81 2018-04-30 4 A 0 1126 0.00 A 2018-04-30 2025-10-29 Class B Common Stock 1126 25027 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 813 0.00 A 2018-04-30 2026-03-11 Class B Common Stock 813 18034 D Stock Option (right to buy) 7.52 2018-04-30 4 A 0 9273 0.00 A 2018-04-30 2026-04-15 Class B Common Stock 9273 206110 D Stock Option (right to buy) 13.52 2018-04-30 4 A 0 4496 0.00 A 2018-04-30 2027-03-10 Class B Common Stock 4496 91926 D On September 8, 2014, the reporting person was granted an option to purchase 75,083 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")). 3,380 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 reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, as amended May 2, 2018 (the "Form 3"), 71,703 of the shares have vested or will vest based on the passage of time. On October 29, 2015, the reporting person was granted an option to purchase 25,027 shares of Class B Common Stock (after giving effect to the Stock Split). 1,126 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, 23,901 of the shares have vested or will vest based on the passage of time. On March 11, 2016, the reporting person was granted an option to purchase 18,034 shares of Class B Common Stock (after giving effect to the Stock Split). 813 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, 17,221 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 206,110 shares of Class B Common Stock (after giving effect to the Stock Split). 9,273 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, 196,837 of the shares have vested or will vest based on the passage of time. On March 10, 2017, the reporting person was granted an option to purchase 99,920 shares of Class B Common Stock (after giving effect to the Stock Split). 12,490 of the shares vest based on the satisfaction of certain performance criteria, which were met for 4,496 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, 87,430 of the shares have vested or will vest based on the passage of time. /s/ Nina Gupta, attorney-in-fact for Mr. Cliff 2018-05-02