Form 4 for VCTR Victory Capital Holdings, Inc.
Accepted 2022-08-31 00:00:00 ET · period of report 2022-08-30 · accession 0001209191-22-048115 · 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 | 2022-08-31 | 2022-08-30 | VCTR | Gupta Nina | CLO | F - Tax | $27.15 | -85.4K | 173.1K | -33% | -$2.32M |
| DM | 2022-08-31 | 2022-08-30 | VCTR | Gupta Nina | CLO | M - OptEx | $10.42 | +123.8K | 258.5K | +92% | +$1.29M |
| DM | 2022-08-31 | 2022-08-30 | VCTR | Gupta Nina | CLO | M - OptEx | $0.00 | -123.8K | 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 | 2022-08-30 | F | D | 85,363 | $27.15 | 173,119 | 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 30, 2022. The net settlement price was the closing stock price on August 30, 2022. |
| 2 | Common | Common Stock | 2022-08-30 | M | A | 14,803 | $13.52 | 240,963 | D | — | — | |
| 3 | Common | Common Stock | 2022-08-30 | M | A | 72,997 | $8.09 | 207,657 | D | — | — | |
| 4 | Common | Common Stock | 2022-08-30 | M | A | 18,503 | $13.52 | 226,160 | D | — | — | |
| 5 | Common | Common Stock | 2022-08-30 | M | A | 17,519 | $14.27 | 258,482 | D | — | — | |
| 6 | Derivative | Stock Option (right to buy) | 2022-08-30 | M | D | 14,803 | $0.00 | 0 | D | $13.52 · — to 2027-07-31 | 14,803 Common Stock | (F4) On July 31, 2017, the reporting person was granted an option to purchase 14,803 shares of Common Stock. As reported on the Form 3, 12,954 of the shares have vested or will vest based on the passage of time. The remaining 1,849 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 666 shares on April 30, 2018, 666 shares on August 31, 2019 and 517 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. |
| 7 | Derivative | Stock Option (right to buy) | 2022-08-30 | M | D | 17,519 | $0.00 | 0 | D | $14.27 · — to 2028-01-01 | 17,519 Common Stock | (F5) On January 1, 2018, the reporting person was granted an option to purchase 17,519 shares of Common Stock. As reported on the Form 3, 10,512 of the shares have vested or will vest based on the passage of time. The remaining 7,007 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 2,336 shares on April 30, 2018, 2,336 shares on August 31, 2019 and 2,335 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. |
| 8 | Derivative | Stock Option (right to buy) | 2022-08-30 | M | D | 18,503 | $0.00 | 0 | D | $13.52 · — to 2027-03-10 | 18,503 Common Stock | (F3) On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Common Stock. As reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. The remaining 2,311 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 832 shares on April 30, 2018, 832 shares on August 31, 2019 and 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. |
| 9 | Derivative | Stock Option (right to buy) | 2022-08-30 | M | D | 72,997 | $0.00 | 0 | D | $8.09 · — to 2026-07-29 | 72,997 Common Stock | (F2) On July 29, 2016, the reporting person was granted an option to purchase 72,997 shares of Common Stock. As reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, as amended May 2, 2018 (the "Form 3"), 63,874 of the shares have vested or will vest based on the passage of time. The remaining 9,123 shares vest based on the satisfaction of certain performance criteria, which were reported as met for 3,284 shares on April 30, 2018, 3,284 shares on August 31, 2019 and 2,555 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. |