Form 4 for VCTR Victory Capital Holdings, Inc.
Accepted 2022-08-03 00:00:00 ET · period of report 2022-08-01 · accession 0001209191-22-044351 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-08-03 | 2022-08-01 | VCTR | Brown David Craig | COB, CEO | M - OptEx | $4.70 | +851.4K | 2.12M | +67% | +$4.00M |
| D | 2022-08-03 | 2022-08-01 | VCTR | Brown David Craig | COB, CEO | F - Tax | $28.02 | -421.7K | 2.17M | -16% | -$11.81M |
| DM | 2022-08-03 | 2022-08-01 | VCTR | Brown David Craig | COB, CEO | M - OptEx | $0.00 | -851.4K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-08-01 | M | A | 87,597 | $2.45 | 2,211,149 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-01 | M | A | 40,670 | $4.73 | 2,251,819 | D | — | — | |
| 3 | Common | Common Stock | 2022-08-01 | M | A | 61,833 | $7.52 | 2,313,652 | D | — | — | |
| 4 | Common | Common Stock | 2022-08-01 | M | A | 257,638 | $7.52 | 2,571,290 | D | — | — | |
| 5 | Common | Common Stock | 2022-08-01 | M | A | 18,503 | $13.52 | 2,589,793 | D | — | — | |
| 6 | Common | Common Stock | 2022-08-01 | F | D | 421,656 | $28.02 | 2,168,137 | D | — | — | (F1) Represents shares withheld by VCTR to satisfy withholding taxes and option exercise price due in connection with the exercise of options on August 1, 2022. The net settlement price was the closing stock price on August 1, 2022. |
| 7 | Common | Common Stock | 2022-08-01 | M | A | 385,112 | $2.45 | 2,123,552 | D | — | — | |
| 8 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 257,638 | $0.00 | 0 | D | $7.52 · — to 2026-04-15 | 257,638 Common Stock | (F6) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 11,593 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 246,045 of the shares have vested or will vest based on the passage of time. |
| 9 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 61,833 | $0.00 | 0 | D | $7.52 · — to 2026-03-11 | 61,833 Common Stock | (F5) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 2,782 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 59,051 of the shares have vested or will vest based on the passage of time. |
| 10 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 40,670 | $0.00 | 0 | D | $4.73 · — to 2024-12-17 | 40,670 Common Stock | (F4) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,830 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 38,840 of the shares have vested or will vest based on the passage of time. |
| 11 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 87,597 | $0.00 | 0 | D | $2.45 · — to 2024-02-05 | 87,597 Common Stock | (F3) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 3,942 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 83,655 of the shares were fully vested. |
| 12 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 385,112 | $0.00 | 0 | D | $2.45 · — to 2023-07-31 | 385,112 Common Stock | (F2) As reported on the reporting person's Form 4 filed with the Securities and Exchange Commission (the "SEC") on May 2, 2018, 17,330 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the reporting person's Form 3 filed with the SEC on February 7, 2018, (the "Form 3"), 367,782 of the shares were fully vested. |
| 13 | Derivative | Stock Option (right to buy) | 2022-08-01 | M | D | 18,503 | $0.00 | 0 | D | $13.52 · — to 2027-03-10 | 18,503 Common Stock | (F7) As reported on the reporting person's Form 4s filed with the SEC on May 2, 2018 and January 13, 2020, 832, 832 and 647 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018, August 31, 2019 and September 22, 2019, respectively. As reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. |