Form 4 for VCTR Victory Capital Holdings, Inc.

Accepted 2021-11-23 00:00:00 ET · period of report 2021-11-23 · accession 0001209191-21-066648 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
D	2021-11-23	2021-11-23	VCTR	Gupta Nina	CLO	C - Cnv Deriv	—	+117.2K	117.2K	New	—
D	2021-11-23	2021-11-23	VCTR	Gupta Nina	CLO	C - Cnv Deriv	—	-117.2K	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-11-23	C	A	117,187	—	117,187	D	—	—	(F1) On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware.
2	Derivative	Class B Common Stock	2021-11-23	C	D	117,187	—	0	D	— · — to —	117,187 Class A Common Stock	(F1) On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware.