Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-066226
Date:2021-11-22
Issuer: VICTORY CAPITAL HOLDINGS, INC. (VCTR)
Original Submission Date:

Reporting Person:

BROWN DAVID CRAIG
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
CLASS A COMMON STOCK 2021-11-22 P 29,400 a $34.62 45,900 direct
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 deemed execution date 0 ( ) class a common stock 1,631,188 $0.00 1,631,188 direct
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were purchased in multiple transactions at prices ranging from $33.94 to $35.50, 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 purchased at each separate price within the ranges set forth in this footnote (1) to this form 4.
f2 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.
f3 in addition, (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 mr. brown each share of class b common stock held by mr. brown or mr. brown's permitted estate planning entities will convert into one share of class a common stock.
WhaleWisdom Logo

Elevate your investments