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4//SEC Filing

HAWKES JAMES B 4

Accession 0001209191-21-066661

CIK 0001570827other

Filed

Nov 22, 7:00 PM ET

Accepted

Nov 23, 8:30 PM ET

Size

14.0 KB

Accession

0001209191-21-066661

Insider Transaction Report

Form 4
Period: 2021-11-23
Transactions
  • Conversion

    Class B Common Stock

    2021-11-23292,6850 total(indirect: See Footnote)
    Class A Common Stock (292,685 underlying)
  • Conversion

    Class B Common Stock

    2021-11-23411,1110 total
    Class A Common Stock (411,111 underlying)
  • Conversion

    Common Stock

    2021-11-23+292,685382,685 total(indirect: See Footnote)
  • Conversion

    Common Stock

    2021-11-23+411,111413,111 total
Holdings
  • Common Stock

    (indirect: See Footnote)
    71,000
  • Common Stock

    (indirect: See Footnote)
    277,464
Footnotes (4)
  • [F1]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.
  • [F2]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.
  • [F3]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.
  • [F4]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.

Issuer

Victory Capital Holdings, Inc.

CIK 0001570827

Entity typeother

Related Parties

1
  • filerCIK 0001225368

Filing Metadata

Form type
4
Filed
Nov 22, 7:00 PM ET
Accepted
Nov 23, 8:30 PM ET
Size
14.0 KB