0001558370-19-003885.txt : 20190502 0001558370-19-003885.hdr.sgml : 20190502 20190502165726 ACCESSION NUMBER: 0001558370-19-003885 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190501 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20190502 DATE AS OF CHANGE: 20190502 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38388 FILM NUMBER: 19792764 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 8-K 1 f8-k.htm 8-K vctr_Current_Folio_8K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8‑K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

May 1, 2019

Date of Report (date of earliest event reported)

Victory Capital Holdings, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware

001‑38388

32‑0402956

(State or other jurisdiction

(Commission

(IRS Employer

of incorporation)

File Number)

Identification Number)

 

 

 

 

4900 Tiedeman Road, 4th Floor; Brooklyn, OH

 

44144

(Address of principal executive offices)

 

(Zip Code)

 

(216) 898‑2400

(Registrant’s telephone number, including area code)

Not Applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8‑K filing is intended to simultaneously satisfy the filing obligation of the registrants under any of the following provisions (see General Instruction A.2. below):

☐    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐    Soliciting material pursuant to Rule 14a‑12 under the Exchange Act (17 CFR 240.14a‑12)

☐    Pre-commencement communications pursuant to Rule 14d‑2(b) under the Exchange Act (17 CFR 240.14d‑2(b))

☐    Pre-commencement communications pursuant to Rule 13e‑4(c) under the Exchange Act (17 CFR 240.13e‑4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b‑2 of the Securities Exchange Act of 1934 (§240.12b‑2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

Securities registered pursuant to Section 12(b) of the Act:

 

 

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Class A Common Stock

VCTR

NASDAQ

 

 

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders.

Victory Capital Holdings, Inc. held its 2019 Annual Meeting of Stockholders on May 1, 2019. The following is a summary of the matters voted on at that meeting.

1)

The Stockholders vote to approve the election of three Class I Directors was as follows:

 

 

 

 

 

 

 

 

 

 

    

FOR

    

AGAINST

    

ABSTAIN

    

BROKER NON-VOTES

 

 

 

 

 

 

 

 

 

Alex Binderow

 

551,980,939

 

4,025,890

 

865

 

4,035,158

Lawrence Davanzo

 

552,012,675

 

3,994,154

 

865

 

4,035,158

Karin Hirtler-Garvey

 

552,013,374

 

3,994,154

 

166

 

4,035,158

 

2)

The Stockholders vote ratifying the appointment of Ernst & Young LLP as the Company’s auditors for the fiscal year ending December 31, 2019, was as follows:

 

 

 

 

 

 

 

FOR

    

AGAINST

    

ABSTAIN

    

BROKER NON‑VOTES

 

 

 

 

 

 

 

560,035,198

 

6,320 

 

1,334 

 

-

 

 

 

- 2 -

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

VICTORY CAPITAL HOLDINGS, INC.

    

 

 

 

 

 

 

 

Dated: May 2, 2019

 

By:

/s/ MICHAEL D. POLICARPO

 

 

 

Name: Michael D. Policarpo

 

 

 

Title: Chief Financial Officer and Chief Administrative Officer (Principal Financial Officer and Principal Accounting Officer)

 

- 3 -