SEC Form 4 · accession 0001104659-18-008521
Victory Capital Holdings, Inc. · VCTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Hawkes
Director
Period of report
Feb 8, 2018
Accepted (ET)
Feb 12, 2018 · 4:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001570827
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 8, 2018 | P | 200,000 | $13.00 | A | 200,000 | D | |
| Class A Common StockF2 | Feb 8, 2018 | P | 40,000 | $12.26 | A | 240,000 | D | |
| Class A Common StockF3 | Feb 9, 2018 | P | 5,000 | $11.50 | A | 245,000 | D | |
| Class A Common StockF4,F5 | Feb 8, 2018 | P | 70,000 | $12.23 | A | 70,000 | I | See Footnote |
| Class A Common StockF5 | Feb 9, 2018 | P | 20,000 | $11.80 | A | 90,000 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares purchased through the Issuer's directed share program in connection with its initial public offering.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.18 to $12.34, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (4) to this Form 4.
- F3These shares were purchased in multiple transactions, each at a price of $11.50.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.16 to $12.30, inclusive.
- F5These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC.