Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 26, 2019 Filed Nov 27, 2019 23:48 UTC |
Policarpo Michael DennisPresident, CFO and CAO
|
Tax withholdingClass B Common Stock · Derivative | 34,246 | $20.77 | $711,289.42 |
DisclosureSEC source: 0001104659-19-068394 · a4.xml · derivative · entry 1 Policarpo Michael Dennis · CIK 0001730118 · President, CFO and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 872,787 Underlying: Class A Common Stock · 34,246 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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. Policarpo each share of Class B Common Stock held by Mr. Policarpo or Mr. Policarpo' s permitted estate planning entities will convert into one share of Class A Common Stock. F3 · shares: Represents shares withheld by VCTR to satisfy withholding taxes due in connection with the vesting of certain restricted shares granted to Mr. Policarpo on March 31, 2017 and January 1, 2018. Such restricted shares vested in full on November 26, 2019. The net settlement price was the closing stock price on November 25, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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. Policarpo each share of Class B Common Stock held by Mr. Policarpo or Mr. Policarpo' s permitted estate planning entities will convert into one share of Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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. Policarpo each share of Class B Common Stock held by Mr. Policarpo or Mr. Policarpo' s permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.underlying_shares: Represents shares withheld by VCTR to satisfy withholding taxes due in connection with the vesting of certain restricted shares granted to Mr. Policarpo on March 31, 2017 and January 1, 2018. Such restricted shares vested in full on November 26, 2019. The net settlement price was the closing stock price on November 25, 2019. Read SEC document |
| November 26, 2019 Filed Nov 27, 2019 23:47 UTC |
Gupta NinaChief Legal Officer
|
Tax withholdingClass B Common Stock · Derivative | 2,171 | $20.77 | $45,091.67 |
DisclosureSEC source: 0001104659-19-068393 · a4.xml · derivative · entry 1 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,506 Underlying: Class A Common Stock · 2,171 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock. F3 · shares: Represents shares withheld by VCTR to satisfy withholding taxes due in connection with the vesting of certain restricted shares granted to Ms. Gupta on January 1, 2018. Such restricted shares vested in full on November 26, 2019. The net settlement price was the closing stock price on November 25, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.underlying_shares: Represents shares withheld by VCTR to satisfy withholding taxes due in connection with the vesting of certain restricted shares granted to Ms. Gupta on January 1, 2018. Such restricted shares vested in full on November 26, 2019. The net settlement price was the closing stock price on November 25, 2019. Read SEC document |
| October 10, 2019 Filed Oct 12, 2019 01:22 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 2,125 | $14.70 | $31,237.50 |
DisclosureSEC source: 0001104659-19-053846 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,561 Underlying: Class A Common Stock · 2,125 shares Expires not disclosed F1 · derivative.exercise_price: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2019. F1 · derivative.exercise_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| October 10, 2019 Filed Oct 12, 2019 01:24 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 425 | $14.70 | $6,247.50 |
DisclosureSEC source: 0001104659-19-053848 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,560 Underlying: Class A Common Stock · 425 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on October 10, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| October 10, 2019 Filed Oct 11, 2019 21:24 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 2,125 | $14.70 | $31,237.50 |
DisclosureSEC source: 0001104659-19-053847 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,041 Underlying: Class A Common Stock · 2,125 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2019. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:40 UTC |
Brown David CraigDirector · Chairman & CEO
|
GrantStock Option (right to buy) · Derivative | 647 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003534 · a4.xml · derivative · entry 2 Brown David Craig · CIK 0001730370 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,503 Underlying: Class B Common Stock · 647 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares as previously reported on April 30, 2018, were met for an additional 832 shares on August 31, 2019 and an additional 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. 16,192 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 2,335 | $0.00 Strike: $14.27 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 8 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,519 Underlying: Class B Common Stock · 2,335 shares Expires 2028-01-01 F4 · balance_after: On January 1, 2018, the reporting person was granted an option to purchase 17,519 shares of Class B Common Stock (after giving effect to the Stock Split). 7,007 of the shares vest based on the satisfaction of certain performance criteria, which were met for 2,336 shares as previously reported on April 30, 2018, 2,336 shares on August 31, 2019 and an additional 2,335 shares on September 22, 2019 when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 10,512 of the shares have vested or will vest based on the passage of time. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 517 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 7 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,803 Underlying: Class B Common Stock · 517 shares Expires 2027-07-31 F3 · balance_after: On July 31, 2017, the reporting person was granted an option to purchase 14,803 shares of Class B Common Stock (after giving effect to the Stock Split). 1,849 of the shares vest based on the satisfaction of certain performance criteria, which were met for 666 shares as previously reported on April 30, 2018, an additional 666 shares on August 31, 2019 and an additional 517 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 12,954 of the shares have vested or will vest based on the passage of time. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 647 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 6 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,503 Underlying: Class B Common Stock · 647 shares Expires 2027-03-10 F2 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to the Stock Split). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares as previously reported on April 30, 2018, and additional 832 shares on August 31, 2019 and an additional 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 2,555 | $0.00 Strike: $8.09 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 5 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,997 Underlying: Class B Common Stock · 2,555 shares Expires 2026-07-29 F1 · balance_after: On July 29, 2016, the reporting person was granted an option to purchase 72,997 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 9,123 of the shares vest based on the satisfaction of certain performance criteria, which were met for 3,284 shares as previously reported on April 30, 2018, an additional 3,248 shares on August 31, 2019 and an additional 2,556 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously 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. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:40 UTC |
Policarpo Michael DennisPresident, CFO and CAO
|
GrantStock Option (right to buy) · Derivative | 2,331 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003535 · a4.xml · derivative · entry 2 Policarpo Michael Dennis · CIK 0001730118 · President, CFO and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,613 Underlying: Class B Common Stock · 2,391 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 66,613 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 8,327 of the shares vest based on the satisfaction of certain performance criteria, which were as previously reported met for 2,998 shares on April 30, 2018, were met for an additional 2,998 shares on August 31, 2019 and an additional 2,331 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 58,286 of the shares have vested or will vest based on the passage of time. Read SEC document |
| September 22, 2019 Filed Jan 13, 2020 23:39 UTC |
Cliff Kelly StevensonPres Investment Franchises
|
GrantStock Option (right to buy) · Derivative | 3,498 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003533 · a4.xml · derivative · entry 2 Cliff Kelly Stevenson · CIK 0001730106 · Pres Investment Franchises 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,920 Underlying: Class B Common Stock · 3,498 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 99,920 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 12,490 of the shares vest based on the satisfaction of certain performance criteria, which were as previously reported met for 4,496 shares on April 30, 2018, were met for an additional 4,496 shares on August 31, 2019 and an additional 3,498 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 87,430 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:40 UTC |
Brown David CraigDirector · Chairman & CEO
|
GrantStock Option (right to buy) · Derivative | 832 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003534 · a4.xml · derivative · entry 1 Brown David Craig · CIK 0001730370 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,856 Underlying: Class B Common Stock · 832 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares as previously reported on April 30, 2018, were met for an additional 832 shares on August 31, 2019 and an additional 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. 16,192 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 2,336 | $0.00 Strike: $14.27 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 4 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,184 Underlying: Class B Common Stock · 2,336 shares Expires 2028-01-01 F4 · balance_after: On January 1, 2018, the reporting person was granted an option to purchase 17,519 shares of Class B Common Stock (after giving effect to the Stock Split). 7,007 of the shares vest based on the satisfaction of certain performance criteria, which were met for 2,336 shares as previously reported on April 30, 2018, 2,336 shares on August 31, 2019 and an additional 2,335 shares on September 22, 2019 when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 10,512 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 666 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 3 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,286 Underlying: Class B Common Stock · 666 shares Expires 2027-07-31 F3 · balance_after: On July 31, 2017, the reporting person was granted an option to purchase 14,803 shares of Class B Common Stock (after giving effect to the Stock Split). 1,849 of the shares vest based on the satisfaction of certain performance criteria, which were met for 666 shares as previously reported on April 30, 2018, an additional 666 shares on August 31, 2019 and an additional 517 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 12,954 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 832 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 2 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,856 Underlying: Class B Common Stock · 832 shares Expires 2027-03-10 F2 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to the Stock Split). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares as previously reported on April 30, 2018, and additional 832 shares on August 31, 2019 and an additional 647 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:41 UTC |
Gupta NinaChief Legal Officer
|
GrantStock Option (right to buy) · Derivative | 3,284 | $0.00 Strike: $8.09 | $0.00 |
DisclosureSEC source: 0001104659-20-003536 · a4.xml · derivative · entry 1 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,442 Underlying: Class B Common Stock · 3,284 shares Expires 2026-07-29 F1 · balance_after: On July 29, 2016, the reporting person was granted an option to purchase 72,997 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 9,123 of the shares vest based on the satisfaction of certain performance criteria, which were met for 3,284 shares as previously reported on April 30, 2018, an additional 3,248 shares on August 31, 2019 and an additional 2,556 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously 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. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:40 UTC |
Policarpo Michael DennisPresident, CFO and CAO
|
GrantStock Option (right to buy) · Derivative | 2,998 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003535 · a4.xml · derivative · entry 1 Policarpo Michael Dennis · CIK 0001730118 · President, CFO and CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,282 Underlying: Class B Common Stock · 2,998 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 66,613 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 8,327 of the shares vest based on the satisfaction of certain performance criteria, which were as previously reported met for 2,998 shares on April 30, 2018, were met for an additional 2,998 shares on August 31, 2019 and an additional 2,331 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 58,286 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 31, 2019 Filed Jan 13, 2020 23:39 UTC |
Cliff Kelly StevensonPres Investment Franchises
|
GrantStock Option (right to buy) · Derivative | 4,496 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-20-003533 · a4.xml · derivative · entry 1 Cliff Kelly Stevenson · CIK 0001730106 · Pres Investment Franchises 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,442 Underlying: Class B Common Stock · 4,496 shares Expires 2027-03-10 F1 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 99,920 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018 (the "Stock Split")). 12,490 of the shares vest based on the satisfaction of certain performance criteria, which were as previously reported met for 4,496 shares on April 30, 2018, were met for an additional 4,496 shares on August 31, 2019 and an additional 3,498 shares on September 22, 2019, when the Company determined that the performance criteria related to such shares had been satisfied. As previously reported on the Form 3, 87,430 of the shares have vested or will vest based on the passage of time. Read SEC document |
| August 16, 2019 Filed Aug 19, 2019 17:08 UTC |
HAWKES JAMES BDirector
|
PurchaseClass A Common Stock | 3,192 | $15.80 | $50,433.60 |
DisclosureSEC source: 0001104659-19-046537 · a4.xml · nonDerivative · entry 2 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 60,063 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.67 to $15.95, 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 sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: 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. Read SEC document |
| August 15, 2019 Filed Aug 19, 2019 17:08 UTC |
HAWKES JAMES BDirector
|
PurchaseClass A Common Stock | 2,500 | $15.54 | $38,850.00 |
DisclosureSEC source: 0001104659-19-046537 · a4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 56,871 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.53 to $15.57, 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 sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F3 · ownership.nature: 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. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 14:23 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 1,664 | $18.77 | $31,233.28 |
DisclosureSEC source: 0001104659-19-040068 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,436 Underlying: Class A Common Stock · 1,664 shares Expires not disclosed F1 · derivative.exercise_price: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2019. F1 · derivative.exercise_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 10:20 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 1,664 | $18.77 | $31,233.28 |
DisclosureSEC source: 0001104659-19-040066 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,916 Underlying: Class A Common Stock · 1,664 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2019. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| July 10, 2019 Filed Jul 12, 2019 14:21 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 332 | $18.77 | $6,231.64 |
DisclosureSEC source: 0001104659-19-040067 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,135 Underlying: Class A Common Stock · 332 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on July 10, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 22:12 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 1,982 | $15.76 | $31,236.32 |
DisclosureSEC source: 0001104659-19-020908 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,772 Underlying: Class A Common Stock · 1,982 shares Expires not disclosed F1 · derivative.exercise_price: 1. 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on April 10, 2019. F1 · derivative.exercise_date: 1. 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 1. 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 22:00 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 396 | $15.76 | $6,240.96 |
DisclosureSEC source: 0001104659-19-020907 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,803 Underlying: Class A Common Stock · 396 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on April 10, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 18:56 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 1,982 | $15.76 | $31,236.32 |
DisclosureSEC source: 0001104659-19-020917 · a4.xml · derivative · entry 4 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 390,252 Underlying: Class A Common Stock · 1,982 shares Expires not disclosed F4 · derivative.exercise_price: 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. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on April 10, 2019. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 17:38 UTC |
Brown David CraigChairman and CEO
|
GrantClass B Common Stock · Derivative | 137,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-019263 · a4.xml · derivative · entry 1 Brown David Craig · CIK 0001730370 · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,840,638 Underlying: Class A Common Stock · 137,150 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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. Brown each share of Class B Common Stock held by Mr. Brown or Mr. Brown's permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.exercise_date: Subject to certain exceptions, the shares of Class B Common Stock vest as to 45,717 aggregate shares on March 31, 2020, 45,717 aggregate shares on March 31, 2021, and 45,716 aggregate shares on March 31, 2022. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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. Brown each share of Class B Common Stock held by Mr. Brown or Mr. Brown's permitted estate planning entities will convert into one share of Class A Common Stock. F4 · balance_after: The amount reported updates the amount previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018 by 2 shares due to a rounding error. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 17:37 UTC |
Cliff Kelly StevensonPresident Investment Franchise
|
GrantClass B Common Stock · Derivative | 47,936 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-019261 · a4.xml · derivative · entry 1 Cliff Kelly Stevenson · CIK 0001730106 · President Investment Franchise 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 553,255 Underlying: Class A Common Stock · 47,936 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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. Cliff each share of Class B Common Stock held by Mr. Cliff or Mr. Cliff's permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.exercise_date: Subject to certain exceptions, the shares of Class B Common Stock vest as to 15,979 aggregate shares on March 31, 2020, 15,979 aggregate shares on March 31, 2021, and 15, 978 aggregate shares on March 31, 2022. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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. Cliff each share of Class B Common Stock held by Mr. Cliff or Mr. Cliff's permitted estate planning entities will convert into one share of Class A Common Stock. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 17:38 UTC |
Gupta NinaChief Legal Officer
|
GrantClass B Common Stock · Derivative | 43,275 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-019264 · a4.xml · derivative · entry 1 Gupta Nina · CIK 0001729988 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,677 Underlying: Class A Common Stock · 43,275 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.exercise_date: Subject to certain exceptions, the shares of Class B Common Stock vest as to 14,425 aggregate shares in equal installments on each of March 31, 2020, March 31, 2021 and March 31, 2022. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Gupta each share of Class B Common Stock held by Ms. Gupta or Ms. Gupta's permitted estate planning entities will convert into one share of Class A Common Stock. Read SEC document |
| March 31, 2019 Filed Apr 2, 2019 17:37 UTC |
Policarpo Michael DennisPresident, CFO & CAO
|
GrantClass B Common Stock · Derivative | 101,531 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-019262 · a4.xml · derivative · entry 1 Policarpo Michael Dennis · CIK 0001730118 · President, CFO & CAO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 907,033 Underlying: Class A Common Stock · 101,531 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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. Policarpo each share of Class B Common Stock held by Mr. Policarpo or Mr. Policarpo' s permitted estate planning entities will convert into one share of Class A Common Stock. F3 · derivative.exercise_date: Subject to certain exceptions, the shares of Class B Common Stock vest as to 33,844 aggregate shares on March 31, 2020, 33,844 aggregate shares on March 31, 2021, and 33,843 aggregate shares on March 31, 2022. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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. Policarpo each share of Class B Common Stock held by Mr. Policarpo or Mr. Policarpo' s permitted estate planning entities will convert into one share of Class A Common Stock. F4 · balance_after: The amount reported updates the amount previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018 by 2 shares due to a rounding error. Read SEC document |
| March 01, 2019 Filed Apr 30, 2019 17:23 UTC |
Sullivan Terence FrancisCFO and Head of Strategy
|
Disposition to issuerStock Option (right to buy) · Derivative | 25,110 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-025095 · a4.xml · derivative · entry 2 Sullivan Terence Francis · CIK 0001730061 · CFO and Head of Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 25,110 shares Expires not disclosed F2 · derivative.exercise_date: On January 1, 2018, Mr. Sullivan was granted an option to purchase 35,038 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018). 14,014 of the shares were to vest based on the satisfaction of certain performance criteria, which were met for 4,672 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, 21,024 of the shares were to vest based on the passage of time which was satisfied for 5,256 options on January 1, 2019. The 9,928 options that have vested remain exercisable until May 30, 2019. Mr. Sullivan's termination of his employment resulted in the forfeiture of options to purchase 25,110 shares of Class B Common Stock. F2 · derivative.expiration_date: On January 1, 2018, Mr. Sullivan was granted an option to purchase 35,038 shares of Class B Common Stock (after giving effect to Victory Capital Holdings, Inc.'s (the "Company's") 175.194 for 1 stock split on February 5, 2018). 14,014 of the shares were to vest based on the satisfaction of certain performance criteria, which were met for 4,672 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. As previously reported on the reporting person's Form 3 filed with the Securities and Exchange Commission on February 7, 2018, 21,024 of the shares were to vest based on the passage of time which was satisfied for 5,256 options on January 1, 2019. The 9,928 options that have vested remain exercisable until May 30, 2019. Mr. Sullivan's termination of his employment resulted in the forfeiture of options to purchase 25,110 shares of Class B Common Stock. Read SEC document |
| March 01, 2019 Filed Apr 30, 2019 17:23 UTC |
Sullivan Terence FrancisCFO and Head of Strategy
|
Disposition to issuerClass B Common Stock · Derivative | 367,998 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-025095 · a4.xml · derivative · entry 1 Sullivan Terence Francis · CIK 0001730061 · CFO and Head of Strategy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 367,998 shares Expires not disclosed F1 · derivative.exercise_date: On March 1, 2019 Mr. Sullivan's employment with the Company terminated resulting in forfeiture of all of his Class B Common Stock. F1 · derivative.expiration_date: On March 1, 2019 Mr. Sullivan's employment with the Company terminated resulting in forfeiture of all of his Class B Common Stock. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 20:39 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 2,840 | $11.00 | $31,240.00 |
DisclosureSEC source: 0001104659-19-001606 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,790 Underlying: Class A Common Stock · 2,840 shares Expires not disclosed F1 · derivative.exercise_price: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on January 10, 2019. F1 · derivative.exercise_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 15:39 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 2,840 | $11.00 | $31,240.00 |
DisclosureSEC source: 0001104659-19-001607 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,270 Underlying: Class A Common Stock · 2,840 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on January 10, 2019. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| January 10, 2019 Filed Jan 11, 2019 20:39 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 568 | $11.00 | $6,248.00 |
DisclosureSEC source: 0001104659-19-001608 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,407 Underlying: Class A Common Stock · 568 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on January 10, 2019. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 18:36 UTC |
HAWKES JAMES BDirector
|
PurchaseClass A Common Stock | 5,000 | $8.80 | $44,000.00 |
DisclosureSEC source: 0001104659-18-074515 · a4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,300 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.80 to $8.81, 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 sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: 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. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 13:08 UTC |
HAWKES JAMES BDirector
|
PurchaseClass A Common Stock | 3,300 | $12.00 | $39,600.00 |
DisclosureSEC source: 0001104659-18-069849 · a4.xml · nonDerivative · entry 2 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,300 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.99 to $12.00, 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 sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: 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. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 13:08 UTC |
HAWKES JAMES BDirector
|
PurchaseClass A Common Stock | 2,000 | $12.00 | $24,000.00 |
DisclosureSEC source: 0001104659-18-069849 · a4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,071 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.99 to $12.00, 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 sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 18:41 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 3,575 | $8.74 | $31,245.50 |
DisclosureSEC source: 0001104659-18-061582 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,950 Underlying: Class A Common Stock · 3,575 shares Expires not disclosed F1 · derivative.exercise_price: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2018. F1 · derivative.exercise_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 14:42 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 3,575 | $8.74 | $31,245.50 |
DisclosureSEC source: 0001104659-18-061583 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,430 Underlying: Class A Common Stock · 3,575 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on October 10, 2018. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 18:42 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 715 | $8.74 | $6,249.10 |
DisclosureSEC source: 0001104659-18-061584 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,839 Underlying: Class A Common Stock · 715 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on October 10, 2018. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 20:00 UTC |
Rappaport AlanDirector
|
GrantClass B Common Stock · Derivative | 3,078 | $10.15 | $31,241.70 |
DisclosureSEC source: 0001104659-18-044677 · a4.xml · derivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,375 Underlying: Class A Common Stock · 3,078 shares Expires not disclosed F1 · derivative.exercise_price: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F2 · price: These shares of Class B Common Stock were issued to Mr. Rappaport at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2018. F1 · derivative.exercise_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. Rappaport, shares of Class B Common Stock held by Mr. Rappaport or Mr. Rappaport's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 16:01 UTC |
HAWKES JAMES BDirector
|
GrantClass B Common Stock · Derivative | 3,078 | $10.15 | $31,241.70 |
DisclosureSEC source: 0001104659-18-044679 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,855 Underlying: Class A Common Stock · 3,078 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at his election in lieu of director fees payable in cash in the amount of $31,250. The price of the derivative security is based on the closing price of the Company's shares on July 10, 2018. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 20:01 UTC |
Hirtler-Garvey KarinDirector
|
GrantClass B Common Stock · Derivative | 615 | $10.15 | $6,242.25 |
DisclosureSEC source: 0001104659-18-044678 · a4.xml · derivative · entry 1 Hirtler-Garvey Karin · CIK 0001336620 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,124 Underlying: Class A Common Stock · 615 shares Expires not disclosed F1 · derivative.exercise_price: 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. F2 · derivative.exercise_price: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F3 · price: These shares of Class B Common Stock were issued to Ms. Hirtler-Garvey at her election in lieu of director fees payable in cash in the amount of $6,250 The price of the derivative security is based on the closing price of the Company's shares on July 10, 2018. F1 · derivative.exercise_date: 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. F2 · derivative.exercise_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. F1 · derivative.expiration_date: 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. F2 · derivative.expiration_date: 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 Ms. Hirtler-Garvey, shares of Class B Common Stock held by Ms. Hirtler-Garvey or Ms. Hirtler-Garvey's permitted estate planning entities will convert into Class A Common Stock. Read SEC document |
| May 16, 2018 Filed May 17, 2018 23:59 UTC |
Rappaport AlanDirector
|
PurchaseClass A Common Stock | 5,800 | $10.19 | $59,102.00 |
DisclosureSEC source: 0001104659-18-034180 · a4.xml · nonDerivative · entry 2 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.19 to $10.35, 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 sold at each separate price within the ranges set forth in this footnote (2) to this Form 4. F3 · ownership.nature: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners. Read SEC document |
| May 15, 2018 Filed May 17, 2018 23:59 UTC |
Rappaport AlanDirector
|
PurchaseClass A Common Stock | 4,200 | $10.16 | $42,672.00 |
DisclosureSEC source: 0001104659-18-034180 · a4.xml · nonDerivative · entry 1 Rappaport Alan · CIK 0001495443 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,200 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.14 to $10.27, 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 sold at each separate price within the ranges set forth in this footnote (1) to this Form 4. F3 · ownership.nature: These securities are held directly by ADR Partners, which is controlled by Mr. Rappaport. Mr. Rappaport disclaims beneficial ownership of the shares held by ADR Partners except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Rappaport is the beneficial owner of the shares held by ADR Partners. Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:28 UTC |
Brown David CraigDirector · Chairman and CEO
|
GrantStock Option (right to buy) · Derivative | 832 | $0.00 Strike: $13.52 | $0.00 |
DisclosureSEC source: 0001104659-18-029987 · a4.xml · derivative · entry 6 Brown David Craig · CIK 0001730370 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,024 Underlying: Class B Common Stock · 832 shares Expires 2027-03-10 F6 · balance_after: On March 10, 2017, the reporting person was granted an option to purchase 18,503 shares of Class B Common Stock (after giving effect to the Stock Split). 2,311 of the shares vest based on the satisfaction of certain performance criteria, which were met for 832 shares on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 16,192 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:28 UTC |
Brown David CraigDirector · Chairman and CEO
|
GrantStock Option (right to buy) · Derivative | 11,593 | $0.00 Strike: $7.52 | $0.00 |
DisclosureSEC source: 0001104659-18-029987 · a4.xml · derivative · entry 5 Brown David Craig · CIK 0001730370 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,638 Underlying: Class B Common Stock · 11,593 shares Expires 2026-04-15 F5 · balance_after: On April 15, 2016, the reporting person was granted an option to purchase 257,638 shares of Class B Common Stock (after giving effect to the Stock Split). 11,593 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 246,045 of the shares have vested or will vest based on the passage of time, which differs by 1 share from the amount previously reported on the reporting person's Form 3 due to a rounding error. Read SEC document |
| April 30, 2018 Filed May 3, 2018 01:28 UTC |
Brown David CraigDirector · Chairman and CEO
|
GrantStock Option (right to buy) · Derivative | 2,782 | $0.00 Strike: $7.52 | $0.00 |
DisclosureSEC source: 0001104659-18-029987 · a4.xml · derivative · entry 4 Brown David Craig · CIK 0001730370 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,833 Underlying: Class B Common Stock · 2,782 shares Expires 2026-03-11 F4 · balance_after: On March 11, 2016, the reporting person was granted an option to purchase 61,833 shares of Class B Common Stock (after giving effect to the Stock Split). 2,782 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018 when the Company's Compensation Committee determined that the performance criteria related to such shares had been satisfied. 59,051 of the shares have vested or will vest based on the passage of time, which differs by 2 shares from the amount previously reported on the reporting person's Form 3 due to a rounding error. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.