Form 4 for VCTR Victory Capital Holdings, Inc.
Accepted 2022-08-25 00:00:00 ET · period of report 2022-08-24 · accession 0001209191-22-047609 · 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 | 2022-08-25 | 2022-08-24 | VCTR | Policarpo Michael Dennis | Pres, CFO, CAO | M - OptEx | $6.00 | +515.4K | 1.30M | +66% | +$3.09M |
| D | 2022-08-25 | 2022-08-24 | VCTR | Policarpo Michael Dennis | Pres, CFO, CAO | F - Tax | $28.23 | -293.5K | 1.00M | -23% | -$8.29M |
| DM | 2022-08-25 | 2022-08-24 | VCTR | Policarpo Michael Dennis | Pres, CFO, CAO | M - OptEx | $0.00 | -515.4K | 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 | 2022-08-24 | M | A | 154,582 | $7.52 | 1,229,241 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-24 | M | A | 179,719 | $2.45 | 960,211 | D | — | — | |
| 3 | Common | Common Stock | 2022-08-24 | M | A | 46,374 | $7.52 | 1,074,659 | D | — | — | |
| 4 | Common | Common Stock | 2022-08-24 | M | A | 31,284 | $4.73 | 1,028,285 | D | — | — | |
| 5 | Common | Common Stock | 2022-08-24 | M | A | 36,790 | $2.45 | 997,001 | D | — | — | |
| 6 | Common | Common Stock | 2022-08-24 | F | D | 293,540 | $28.23 | 1,002,314 | 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 24, 2022. The net settlement price was the closing stock price on August 24, 2022. |
| 7 | Common | Common Stock | 2022-08-24 | M | A | 66,613 | $13.52 | 1,295,854 | D | — | — | |
| 8 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 66,613 | $0.00 | 0 | D | $13.52 · — to 2027-03-10 | 66,613 Common Stock | (F7) As reported on the reporting person's Form 4s filed with the SEC on May 2, 2018 and January 13, 2020, shares totaling 2,998, 2,998 and 2,331 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, 58,286 of the shares have vested or will vest based on the passage of time. |
| 9 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 154,582 | $0.00 | 0 | D | $7.52 · — to 2026-04-15 | 154,582 Common Stock | (F6) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 6,957 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, 147,625 of the shares have vested or will vest based on the passage of time. |
| 10 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 46,374 | $0.00 | 0 | D | $7.52 · — to 2026-03-11 | 46,374 Common Stock | (F5) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 2,087 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, 44,287 of the shares have vested or will vest based on the passage of time. |
| 11 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 31,284 | $0.00 | 0 | D | $4.73 · — to 2024-12-17 | 31,284 Common Stock | (F4) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,407 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, 29,877 of the shares have vested or will vest based on the passage of time. |
| 12 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 36,790 | $0.00 | 0 | D | $2.45 · — to 2024-02-05 | 36,790 Common Stock | (F3) As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,655 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, 35,135 of the shares were fully vested. |
| 13 | Derivative | Stock Option (right to buy) | 2022-08-24 | M | D | 179,719 | $0.00 | 0 | D | $2.45 · — to 2023-07-31 | 179,719 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, 8,087 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"), 171,632 of the shares were fully vested. |