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