4//SEC Filing
HAWKES JAMES B 4
Accession 0001209191-20-036610
CIK 0001570827other
Filed
Jun 14, 8:00 PM ET
Accepted
Jun 15, 4:27 PM ET
Size
14.1 KB
Accession
0001209191-20-036610
Insider Transaction Report
Form 4
HAWKES JAMES B
Director
Transactions
- Purchase
Class A Common Stock
2020-06-11$15.76/sh+13,000$204,880→ 273,063 total(indirect: See Footnote) - Purchase
Class A Common Stock
2020-06-12$15.76/sh+4,404$69,407→ 277,467 total(indirect: See Footnote)
Holdings
- 90,000(indirect: See Footnote)
Class A Common Stock
- 292,685(indirect: See Footnote)
Class B Common Stock
→ Class A Common Stock (292,685 underlying) - 71,000(indirect: See Footnote)
Class A Common Stock
- 2,000
Class A Common Stock
- 399,011
Class B Common Stock
→ Class A Common Stock (399,011 underlying)
Footnotes (6)
- [F1]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.60 to $15.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.
- [F2]These securities are held directly by James B Hawkes 2012 Revocable U/A DTD 12/10/2012, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by James B Hawkes 2012 Revocable U/A DTD 12/10/2012 except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by James B Hawkes 2012 Revocable U/A DTD 12/10/2012.
- [F3]These shares were purchased in multiple transactions, each at a price of $15.76.
- [F4]These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest, LLC.
- [F5]These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC.
- [F6]The shares of Class B Common Stock of the Issuer ("Class B Common Stock") are convertible into Class A Common Stock of the Issuer ("Class A Common Stock") on a one-to-one basis at the option of the holder and have no expiration date. Class B Common Stock will convert automatically into Class A Common Stock on the date on which the number of outstanding shares of Class B Common Stock represents less than 10% of the aggregate combined number of outstanding shares of Class A Common Stock and Class B Common Stock. In addition, (i) each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's amended and restated certificate of incorporation, or (ii) in the event of the death of Mr. Hawkes, shares of Class B Common Stock held by Mr. Hawkes or Mr. Hawkes' permitted estate planning entities will convert into Class A Common Stock.
Documents
Issuer
Victory Capital Holdings, Inc.
CIK 0001570827
Entity typeother
Related Parties
1- filerCIK 0001225368
Filing Metadata
- Form type
- 4
- Filed
- Jun 14, 8:00 PM ET
- Accepted
- Jun 15, 4:27 PM ET
- Size
- 14.1 KB