SEC Form 4 · accession 0001104659-18-029985
Victory Capital Holdings, Inc. · VCTR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terence Francis Sullivan
Officer — CFO and Head of Strategy
Period of report
Apr 30, 2018
Accepted (ET)
May 2, 2018 · 9:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001570827
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $14.27 | Apr 30, 2018 | A | 4,672 | A | Apr 30, 2018 | Jan 1, 2028 | Class B Common Stock | 4,672 | 25,696 | D |
Explanation of responses
- F1On January 1, 2018, the reporting person was granted an option to purchase 35,038 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018). 14,014 of the shares vest based on the satisfaction of certain performance criteria, which were met for 4,672 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, 21,024 of the shares have vested or will vest based on the passage of time.