0001104659-19-019264.txt : 20190402
0001104659-19-019264.hdr.sgml : 20190402
20190402133820
ACCESSION NUMBER: 0001104659-19-019264
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190402
DATE AS OF CHANGE: 20190402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gupta Nina
CENTRAL INDEX KEY: 0001729988
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38388
FILM NUMBER: 19723726
MAIL ADDRESS:
STREET 1: 4900 TIEDEMAN 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
2019-03-31
0
0001570827
Victory Capital Holdings, Inc.
VCTR
0001729988
Gupta Nina
C/O VICTORY CAPITAL HOLDINGS, INC.
4900 TIEDEMAN ROAD 4TH FLOOR
BROOKLYN
OH
44144
0
1
0
0
Chief Legal Officer
Class B Common Stock
2019-03-31
4
A
0
43275
0
A
Class A Common Stock
43275
93677
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. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock.
Subject to certain exceptions, the shares of Class B Common Stock vest as to 14,425 aggregate shares in equal installments on each of March 31, 2020, March 31, 2021 and March 31, 2022.
/s/ Nina Gupta,
2019-04-02