Victory Capital Holdings, Inc. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 64 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-10-13: Reporting owner Berlinski Milton R.; Form 4; Security Class B Common Stock; Transaction Holding.
- 2020-10-13: Reporting owner Davanzo Lawrence; Form 4; Security Class B Common Stock; Transaction Holding.
- 2020-10-13: Reporting owner Rappaport Alan; Form 4; Security Class B Common Stock; Transaction Holding.
- 2020-10-13: Reporting owner HAWKES JAMES B; Form 4; Security Class B Common Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-10-13 holding as of filing | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 184,231 owned after | no price filed | 2020-10-13 | |
| 2020-10-13 holding as of filing | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 149,471 owned after | no price filed | 2020-10-13 | |
| 2020-10-13 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2020-10-13 | |
| 2020-10-13 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 | 2020-10-13 | |
| 2020-10-12 | DEMARTINI RICHARD M | Binderow Alex J. | HURST ROBERT J/NY | Crestview Victory, L.P. | Crestview Partners II GP, L.P. | Crestview Advisors, L.L.C. Director | Director | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,638 35,259,938 owned after | $18.94 | $18.94 | 2020-10-14 |
| 2020-10-12 | DEMARTINI RICHARD M | Binderow Alex J. | HURST ROBERT J/NY | Crestview Victory, L.P. | Crestview Partners II GP, L.P. | Crestview Advisors, L.L.C. Director | Director | Director | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,319 4,401 owned after | $18.94 | $18.94 | 2020-10-14 |
| 2020-10-12 | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,319 290,829 owned after | $18.94 | $18.94 | 2020-10-13 |
| 2020-10-12 | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,319 4,401 owned after | $18.94 | $18.94 | 2020-10-13 |
| 2020-10-12 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,319 128,434 owned after | $18.94 | $18.94 | 2020-10-13 |
| 2020-10-12 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,319 26,255 owned after | $18.94 | $18.94 | 2020-10-13 |
| 2020-10-12 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,639 404,316 owned after | $18.94 | $18.94 | 2020-10-13 |
| 2020-09-15 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,000 444,345 owned after | $16.61 | $16.78 | 2020-09-17 |
| 2020-09-14 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −9,856 454,345 owned after | $17.02 | $16.95 | 2020-09-16 |
| 2020-09-11 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −15,000 464,201 owned after | $16.58 | $16.57 | 2020-09-14 |
| 2020-09-09 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −3,989 479,201 owned after | $17.28 | $17.21 | 2020-09-11 |
| 2020-07-13 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 | 2020-07-13 | |
| 2020-07-13 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2020-07-13 | |
| 2020-07-13 holding as of filing | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 149,471 owned after | no price filed | 2020-07-13 | |
| 2020-07-13 holding as of filing | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 184,231 owned after | no price filed | 2020-07-13 | |
| 2020-07-10 | Binderow Alex J. | Crestview Victory, L.P. | Crestview Partners II GP, L.P. | HURST ROBERT J/NY | DEMARTINI RICHARD M | Crestview Advisors, L.L.C. Director | Director, 10% Owner | Director, 10% Owner | Director | Director | Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,666 35,257,300 owned after | $18.75 | $18.75 | 2020-07-14 |
| 2020-07-10 | Binderow Alex J. | Crestview Victory, L.P. | Crestview Partners II GP, L.P. | HURST ROBERT J/NY | DEMARTINI RICHARD M | Crestview Advisors, L.L.C. Director | Director, 10% Owner | Director, 10% Owner | Director | Director | Director, 10% Owner | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 3,082 owned after | $18.75 | $18.75 | 2020-07-14 |
| 2020-07-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,666 401,677 owned after | $18.75 | $18.75 | 2020-07-13 |
| 2020-07-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 127,115 owned after | $18.75 | $18.75 | 2020-07-13 |
| 2020-07-10 | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 3,082 owned after | $18.75 | $18.75 | 2020-07-13 |
| 2020-07-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 24,936 owned after | $18.75 | $18.75 | 2020-07-13 |
| 2020-07-10 | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 289,510 owned after | $18.75 | $18.75 | 2020-07-13 |
| 2020-06-19 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,058 483,190 owned after | $16.50 | $16.50 | 2020-06-22 |
| 2020-06-15 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct · (m) | Holding | 399,011 owned after | no price filed | 2020-06-15 | |
| 2020-06-15 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 292,685 owned after | no price filed | 2020-06-15 | |
| 2020-06-02 | Cliff Kelly Stevenson Officer (Pres., Investment Franchises) | 4 | Class B Common Stock Derivative · Direct | C Conversion of derivative security | −722 390,361 owned after | $0.00 | $17.18 | 2021-04-01 |
| 2020-05-18 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct · (m) | Holding | 399,011 owned after | no price filed | 2020-05-18 | |
| 2020-05-18 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 292,685 owned after | no price filed | 2020-05-18 | |
| 2020-05-15 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct · (m) | Holding | 399,011 owned after | no price filed | 2020-05-15 | |
| 2020-05-15 holding as of filing | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Indirect · (m) | Holding | 292,685 owned after | no price filed | 2020-05-15 | |
| 2020-04-15 holding as of filing | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 184,231 owned after | no price filed | 2020-04-15 | |
| 2020-04-14 holding as of filing | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 149,471 owned after | no price filed | 2020-04-14 | |
| 2020-04-14 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 | 2020-04-14 | |
| 2020-04-14 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2020-04-14 | |
| 2020-04-13 | Berlinski Milton R. Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,749 288,177 owned after | $14.29 | $14.29 | 2020-04-15 |
| 2020-04-13 | Crestview Victory, L.P. | HURST ROBERT J/NY | Crestview Advisors, L.L.C. | Crestview Partners II GP, L.P. | DEMARTINI RICHARD M | Binderow Alex J. Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director | Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,498 35,254,634 owned after | $14.29 | $14.29 | 2020-04-15 |
| 2020-04-13 | Crestview Victory, L.P. | HURST ROBERT J/NY | Crestview Advisors, L.L.C. | Crestview Partners II GP, L.P. | DEMARTINI RICHARD M | Binderow Alex J. Director, 10% Owner | Director | Director, 10% Owner | Director, 10% Owner | Director | Director | 4 | Class B Common Stock Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,749 1,749 owned after | $14.29 | $14.29 | 2020-04-15 |
| 2020-04-13 | Davanzo Lawrence Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,749 1,749 owned after | $14.29 | $14.29 | 2020-04-14 |
| 2020-04-13 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,498 399,011 owned after | $14.29 | $14.29 | 2020-04-14 |
| 2020-04-13 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,749 125,782 owned after | $14.29 | $14.29 | 2020-04-14 |
| 2020-04-13 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,749 23,603 owned after | $14.29 | $14.29 | 2020-04-14 |
| 2020-03-31 | 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 | −7,152 115,582 owned after | $16.36 | $16.36 | 2020-04-02 |
| 2020-03-31 | Cliff Kelly Stevenson Officer (Pres., Investment 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 | −35,446 484,248 owned after | $16.36 | $16.36 | 2020-04-02 |
| 2020-03-31 | Brown David Craig 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 | −71,082 1,743,543 owned after | $16.36 | $16.36 | 2020-04-02 |
| 2020-03-31 | Policarpo Michael Dennis Officer (President, CFO & 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 | −40,524 830,131 owned after | $16.36 | $16.36 | 2020-04-02 |
| 2020-03-31 | Cliff Kelly Stevenson Officer (See Remarks) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,562 519,694 owned after | $0.00 | $16.36 | 2020-04-01 |
| 2020-03-31 | Gupta Nina Officer (See Remarks) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,618 123,534 owned after | $0.00 | $16.36 | 2020-04-01 |
| 2020-03-31 | Policarpo Michael Dennis Officer (See Remarks) | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,117 870,655 owned after | $0.00 | $16.36 | 2020-04-01 |
| 2020-03-31 | 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) | +94,743 1,814,625 owned after | $0.00 | $16.36 | 2020-04-01 |
| 2020-03-10 | 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 | −3,211 489,132 owned after | $17.28 | $17.28 | 2020-03-12 |
| 2020-03-10 | Policarpo Michael Dennis Officer (President, CFO & 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 | −1,679 842,538 owned after | $17.28 | $17.28 | 2020-03-12 |
| 2020-02-13 | 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 | −27,516 492,343 owned after | $23.16 | $22.30 | 2020-02-18 |
| 2020-02-13 | Brown David Craig Officer (President, CFO & 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 | +57,625 1,719,882 owned after | $23.16 | $22.30 | 2020-02-18 |
| 2020-02-13 | 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 | +2,390 89,116 owned after | $23.16 | $22.30 | 2020-02-18 |
| 2020-02-13 | Policarpo Michael Dennis Officer (President, CFO & 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 | +28,570 844,217 owned after | $23.16 | $22.30 | 2020-02-18 |
| 2020-01-13 holding as of filing | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Indirect · See Footnote | Holding | 288,861 owned after | no price filed | 2020-01-13 | |
| 2020-01-13 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 | 2020-01-13 | |
| 2020-01-10 | Rappaport Alan Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,472 124,033 owned after | $21.22 | $21.22 | 2020-01-13 |
| 2020-01-10 | Hirtler-Garvey Karin Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +294 21,854 owned after | $21.22 | $21.22 | 2020-01-13 |
| 2020-01-10 | HAWKES JAMES B Director | 4 | Class B Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,472 395,513 owned after | $21.22 | $21.22 | 2020-01-13 |
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