0001209191-22-048115.txt : 20220831 0001209191-22-048115.hdr.sgml : 20220831 20220831160346 ACCESSION NUMBER: 0001209191-22-048115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220830 FILED AS OF DATE: 20220831 DATE AS OF CHANGE: 20220831 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: 221217986 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 STREET 2: 4TH FLOOR CITY: BROOKLYN STATE: OH ZIP: 44144 BUSINESS PHONE: 216-898-2400 MAIL ADDRESS: STREET 1: 4900 TIEDEMANN ROAD STREET 2: 4TH FLOOR CITY: BROOKLYN STATE: OH ZIP: 44144 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-08-30 0 0001570827 Victory Capital Holdings, Inc. VCTR 0001729988 Gupta Nina 15935 LA CANTERA PARKWAY SAN ANTONIO TX 78256 0 1 0 0 Chief Legal Officer Common Stock 2022-08-30 4 M 0 72997 8.09 A 207657 D Common Stock 2022-08-30 4 M 0 18503 13.52 A 226160 D Common Stock 2022-08-30 4 M 0 14803 13.52 A 240963 D Common Stock 2022-08-30 4 M 0 17519 14.27 A 258482 D Common Stock 2022-08-30 4 F 0 85363 27.15 D 173119 D Stock Option (right to buy) 8.09 2022-08-30 4 M 0 72997 0.00 D 2026-07-29 Common Stock 72997 0 D Stock Option (right to buy) 13.52 2022-08-30 4 M 0 18503 0.00 D 2027-03-10 Common Stock 18503 0 D Stock Option (right to buy) 13.52 2022-08-30 4 M 0 14803 0.00 D 2027-07-31 Common Stock 14803 0 D Stock Option (right to buy) 14.27 2022-08-30 4 M 0 17519 0.00 D 2028-01-01 Common Stock 17519 0 D Represents shares withheld by VCTR to satisfy withholding taxes and option exercise price due in connection with the exercise of options on August 30, 2022. The net settlement price was the closing stock price on August 30, 2022. On July 29, 2016, the reporting person was granted an option to purchase 72,997 shares of Common Stock. As 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"), 63,874 of the shares have vested or will vest based on the passage of time. The remaining 9,123 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 3,284 shares on April 30, 2018, 3,284 shares on August 31, 2019 and 2,555 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Common Stock. As reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. The remaining 2,311 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 832 shares on April 30, 2018, 832 shares on August 31, 2019 and 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. On July 31, 2017, the reporting person was granted an option to purchase 14,803 shares of Common Stock. As reported on the Form 3, 12,954 of the shares have vested or will vest based on the passage of time. The remaining 1,849 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 666 shares on April 30, 2018, 666 shares on August 31, 2019 and 517 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. On January 1, 2018, the reporting person was granted an option to purchase 17,519 shares of Common Stock. As reported on the Form 3, 10,512 of the shares have vested or will vest based on the passage of time. The remaining 7,007 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 2,336 shares on April 30, 2018, 2,336 shares on August 31, 2019 and 2,335 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. /s/ Nina Gupta 2022-08-31