Victory Capital Holdings, Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-26: Reporting owner Cliff Kelly Stevenson; Form 4; Security Class B Common Stock; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2019-11-26: Reporting owner Brown David Craig; Form 4; Security Class B Common Stock; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2019-11-26: Reporting owner Policarpo Michael Dennis; Form 4; Security Class B Common Stock; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 2019-11-26: Reporting owner Gupta Nina; Form 4; Security Class B Common Stock; Transaction F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-11-26 | Cliff Kelly Stevenson Officer (President, Invest. Franchises) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −33,396 519,859 owned after | $20.77 | $20.53 | 2019-11-27 |
| 2019-11-26 | Brown David Craig Director, Officer (Chairman and CEO) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | −63,131 1,777,507 owned after | $20.77 | $20.53 | 2019-11-27 |
| 2019-11-26 | Policarpo Michael Dennis Officer (President, CFO and CAO) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | +34,246 872,787 owned after | $20.77 | $20.53 | 2019-11-27 |
| 2019-11-26 | Gupta Nina Officer (Chief Legal Officer) | 4 | Class B Common Stock Derivative · Direct | F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3 | +2,171 91,506 owned after | $20.77 | $20.53 | 2019-11-27 |
| 2019-10-11 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 292,685 owned after | no price filed | 2019-10-11 | |
| 2019-10-11 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2019-10-11 | |
| 2019-10-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +425 21,560 owned after | $14.70 | $14.70 | 2019-10-11 |
| 2019-10-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,125 394,041 owned after | $14.70 | $14.70 | 2019-10-11 |
| 2019-10-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,125 122,561 owned after | $14.70 | $14.70 | 2019-10-11 |
| 2019-07-12 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2019-07-12 | |
| 2019-07-12 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 292,685 owned after | no price filed | 2019-07-12 | |
| 2019-07-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,664 120,436 owned after | $18.77 | $18.77 | 2019-07-12 |
| 2019-07-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +332 21,135 owned after | $18.77 | $18.77 | 2019-07-12 |
| 2019-07-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,664 391,916 owned after | $18.77 | $18.77 | 2019-07-12 |
| 2019-04-11 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 292,685 owned after | no price filed | 2019-04-11 | |
| 2019-04-11 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2019-04-11 | |
| 2019-04-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,982 390,252 owned after | $15.76 | $15.76 | 2019-04-11 |
| 2019-04-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,982 118,772 owned after | $15.76 | $15.76 | 2019-04-11 |
| 2019-04-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +396 20,803 owned after | $15.76 | $15.76 | 2019-04-11 |
| 2019-03-31 | Gupta Nina Officer (Chief Legal Officer) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,275 93,677 owned after | $0.00 | $15.02 | 2019-04-02 |
| 2019-03-31 | Brown David Craig Officer (Chairman and CEO) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +137,150 1,840,638 owned after | $0.00 | $15.02 | 2019-04-02 |
| 2019-03-31 | Policarpo Michael Dennis Officer (President, CFO & CAO) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +101,531 907,033 owned after | $0.00 | $15.02 | 2019-04-02 |
| 2019-03-31 | Cliff Kelly Stevenson Officer (President Investment Franchise) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,936 553,255 owned after | $0.00 | $15.02 | 2019-04-02 |
| 2019-03-01 | Sullivan Terence Francis Officer (CFO and Head of Strategy) | 4 | Class B Common Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −367,998 0 owned after | $0.00 | $12.96 | 2019-04-30 |
| 2019-01-11 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 292,685 owned after | no price filed | 2019-01-11 | |
| 2019-01-11 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2019-01-11 | |
| 2019-01-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +568 20,407 owned after | $11.00 | $11.00 | 2019-01-11 |
| 2019-01-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,840 388,270 owned after | $11.00 | $11.00 | 2019-01-11 |
| 2019-01-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,840 116,790 owned after | $11.00 | $11.00 | 2019-01-11 |
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