Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-042283
Date:2020-07-10
Issuer: VICTORY CAPITAL HOLDINGS, INC. (VCTR)
Original Submission Date:

Reporting Person:

HIRTLER-GARVEY KARIN
C/O VICTORY CAPITAL HOLDINGS, INC.
15935 LA CANTERA PARKWAY SAN ANTONIO, TX 78256

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS B COMMON STOCK 0.0 2020-07-10 deemed execution date A 1,333 (a) class a common stock 1,333 $0.00 24,936 direct
Footnotes
IDfootnote
f1 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. (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. hirtler-garvey, shares of class b common stock held by ms. hirtler-garvey or ms. hirtler-garvey's permitted estate planning entities will convert into class a common stock.
f2 these shares of class b common stock were issued to ms. hirtler-garvey at the company's election in lieu of quarterly director fees for service on the company board payable in cash in the amount of $25,000. the price of the derivative security is based on the closing price of the company's shares on july 10, 2020.
WhaleWisdom Logo

Elevate your investments