Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Victory Capital Holdings, Inc.VCTR · Entity 3710 | Director | July 10, 2023 | July 12, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Victory Capital Holdings, Inc.
Report date July 10, 2023 · Filed July 12, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 424,605 |
Reported balance
After 2023-07-10 transaction · row 1
1 source rowRow 1 · 2023-07-10 · Grant · Acquired 650 · Balance 424,605 F1: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $10,714 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $9,107 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $804, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating, Governance, and Sustainability Committee payable in cash in the amount of $804. On May 9, 2023, Mr. Hawkes' term as a member of the Board ended, and as such, his quarterly director fees were prorated from April 1, 2023 through May 9, 2023. The price in each case is based on the closing price of the Company's shares on July 10, 2023. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 20,000 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 20,000 F2: These securities are held by Mary Lou Hawkes 2012 Revocable U/A DTD 12/10/2012, a family trust in which the Reporting Person's spouse serves as the trustee and the Reporting Person has investment control. The Reporting Person disclaims beneficial ownership of these Common Stock Shares to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 277,464 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 277,464 F3: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 71,000 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 71,000 F4: These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest, LLC. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 382,685 |
Reported balance
Holding disclosure · report date 2023-07-10 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 382,685 F5: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $10,714 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $9,107 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $804, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating, Governance, and Sustainability Committee payable in cash in the amount of $804. On May 9, 2023, Mr. Hawkes' term as a member of the Board ended, and as such, his quarterly director fees were prorated from April 1, 2023 through May 9, 2023. The price in each case is based on the closing price of the Company's shares on July 10, 2023.
F2: These securities are held by Mary Lou Hawkes 2012 Revocable U/A DTD 12/10/2012, a family trust in which the Reporting Person's spouse serves as the trustee and the Reporting Person has investment control. The Reporting Person disclaims beneficial ownership of these Common Stock Shares to the extent of his pecuniary interest therein.
F3: 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.
F4: These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest, LLC.
F5: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 10, 2023 Filed Jul 12, 2023 19:35 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 650 | $32.94 | $21,411.00 |
DisclosureSEC source: 0001209191-23-042120 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 424,605 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $10,714 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $9,107 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $804, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating, Governance, and Sustainability Committee payable in cash in the amount of $804. On May 9, 2023, Mr. Hawkes' term as a member of the Board ended, and as such, his quarterly director fees were prorated from April 1, 2023 through May 9, 2023. The price in each case is based on the closing price of the Company's shares on July 10, 2023. Read SEC document |
| April 10, 2023 Filed Apr 12, 2023 19:31 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 1,706 | $29.30 | $49,985.80 |
DisclosureSEC source: 0001209191-23-024183 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 423,955 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating, Governance, and Sustainability Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on April 10, 2023. Read SEC document |
| January 10, 2023 Filed Jan 12, 2023 17:00 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 1,720 | $29.06 | $49,983.20 |
DisclosureSEC source: 0001209191-23-003167 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 422,249 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on January 10, 2023. Read SEC document |
| October 10, 2022 Filed Oct 12, 2022 19:28 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 1,953 | $25.60 | $49,996.80 |
DisclosureSEC source: 0001209191-22-053510 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,529 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on October 10, 2022. Read SEC document |
| July 11, 2022 Filed Jul 13, 2022 21:30 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 2,118 | $23.60 | $49,984.80 |
DisclosureSEC source: 0001209191-22-042091 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,576 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on July 11, 2022. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 16:29 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseCommon Stock | 20,000 | $24.51 | $490,200.00 |
DisclosureSEC source: 0001209191-22-037420 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.37 to $24.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: These securities are held by Mary Lou Hawkes 2012 Revocable U/A DTD 12/10/2012, a family trust in which the Reporting Person's spouse serves as the trustee and the Reporting Person has investment control. The Reporting Person disclaims beneficial ownership of these Common Stock Shares to the extent of his pecuniary interest therein. Read SEC document |
| April 11, 2022 Filed Apr 13, 2022 17:01 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 1,866 | $26.79 | $49,990.14 |
DisclosureSEC source: 0001209191-22-024304 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416,458 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on April 11, 2022. Read SEC document |
| January 10, 2022 Filed Jan 12, 2022 21:19 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantCommon Stock | 1,481 | $33.74 | $49,968.94 |
DisclosureSEC source: 0001209191-22-003137 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 414,592 F1 · price: These shares of Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price in each case is based on the closing price of the Company's shares on January 10, 2022. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 20:30 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | ConversionClass B Common Stock · Derivative | 292,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-066661 · doc4.xml · derivative · entry 6 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Common Stock · 292,685 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · derivative.exercise_date: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · derivative.expiration_date: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F4 · ownership.nature: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 20:30 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | ConversionClass B Common Stock · Derivative | 411,111 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-066661 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 411,111 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · derivative.exercise_date: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · derivative.expiration_date: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 20:30 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | ConversionCommon Stock | 411,111 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-066661 · doc4.xml · nonDerivative · entry 4 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 413,111 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. Read SEC document |
| November 23, 2021 Filed Nov 23, 2021 20:30 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | ConversionCommon Stock | 292,685 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-066661 · doc4.xml · nonDerivative · entry 3 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 382,685 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. F3 · acquired: On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware. Read SEC document |
| October 11, 2021 Filed Oct 13, 2021 15:59 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,387 | $36.03 | $49,973.61 |
DisclosureSEC source: 0001209191-21-060350 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,111 Underlying: Class A Common Stock · 1,387 shares Expires not disclosed F3 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on October 11, 2021. 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 |
| July 12, 2021 Filed Jul 14, 2021 16:12 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,515 | $33.00 | $49,995.00 |
DisclosureSEC source: 0001209191-21-046665 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,724 Underlying: Class A Common Stock · 1,515 shares Expires not disclosed F3 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on July 12, 2021. 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 |
| April 12, 2021 Filed Apr 14, 2021 08:53 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,766 | $28.31 | $49,995.46 |
DisclosureSEC source: 0001209191-21-026559 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 408,209 Underlying: Class A Common Stock · 1,766 shares Expires not disclosed F4 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F6 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on April 12, 2021. F5 · 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. F5 · 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 11, 2021 Filed Jan 13, 2021 14:26 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 2,127 | $23.50 | $49,984.50 |
DisclosureSEC source: 0001209191-21-003381 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 406,443 Underlying: Class A Common Stock · 2,127 shares Expires not disclosed F3 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on January 11, 2021. 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 |
| October 12, 2020 Filed Oct 13, 2020 16:45 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 2,639 | $18.94 | $49,982.66 |
DisclosureSEC source: 0001209191-20-054651 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,316 Underlying: Class A Common Stock · 2,639 shares Expires not disclosed F3 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on October 12, 2020. 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 |
| July 10, 2020 Filed Jul 13, 2020 16:55 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 2,666 | $18.75 | $49,987.50 |
DisclosureSEC source: 0001209191-20-042297 · doc4.xml · derivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,677 Underlying: Class A Common Stock · 2,666 shares Expires not disclosed F3 · derivative.exercise_price: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. F5 · price: These shares of Class B Common Stock were issued to Mr. Hawkes at: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on July 10, 2020. 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 |
| June 12, 2020 Filed Jun 15, 2020 16:27 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 4,404 | $15.76 | $69,407.04 |
DisclosureSEC source: 0001209191-20-036610 · doc4.xml · nonDerivative · entry 2 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 277,467 F3 · price: These shares were purchased in multiple transactions, each at a price of $15.76. 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 |
| June 11, 2020 Filed Jun 15, 2020 16:27 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 13,000 | $15.76 | $204,880.00 |
DisclosureSEC source: 0001209191-20-036610 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 273,063 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.60 to $15.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · 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 |
| May 15, 2020 Filed May 18, 2020 16:04 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 31,000 | $14.01 | $434,310.00 |
DisclosureSEC source: 0001209191-20-030053 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 71,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.45 to $14.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest LLC. Read SEC document |
| May 14, 2020 Filed May 15, 2020 16:21 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 20,000 | $13.72 | $274,400.00 |
DisclosureSEC source: 0001209191-20-029739 · doc4.xml · nonDerivative · entry 2 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 40,000 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.685 to $13.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest LLC. Read SEC document |
| May 13, 2020 Filed May 15, 2020 16:21 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 20,000 | $13.96 | $279,200.00 |
DisclosureSEC source: 0001209191-20-029739 · doc4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.845 to $13.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4. F2 · ownership.nature: These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest LLC. Read SEC document |
| April 13, 2020 Filed Apr 14, 2020 20:09 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 3,498 | $14.29 | $49,986.42 |
DisclosureSEC source: 0001209191-20-024403 · doc4.xml · derivative · entry 4 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,011 Underlying: Class A Common Stock · 3,498 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: (i) the Company's election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $25,000 and (ii) Mr. Hawkes' election in lieu of quarterly director fees for service on the Company Board payable in cash in the amount of $21,250 (iii) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Compensation Committee payable in cash in the amount of $1,875, (iv) Mr. Hawkes' election in lieu of director fees for service as a member of the Company's Nominating & Governance Committee payable in cash in the amount of $1,875. The price of the derivative security in each case is based on the closing price of the Company's shares on April 13, 2020. 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 |
| January 10, 2020 Filed Jan 13, 2020 21:25 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 1,472 | $21.22 | $31,235.84 |
DisclosureSEC source: 0001104659-20-003563 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 395,513 Underlying: Class A Common Stock · 1,472 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, 2020. 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, 2019 Filed Oct 11, 2019 21:24 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| August 16, 2019 Filed Aug 19, 2019 17:08 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 10:20 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| April 10, 2019 Filed Apr 11, 2019 18:56 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| January 10, 2019 Filed Jan 11, 2019 15:39 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| December 20, 2018 Filed Dec 21, 2018 18:36 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 14:42 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| July 10, 2018 Filed Jul 11, 2018 16:01 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | 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 |
| April 30, 2018 Filed May 2, 2018 21:24 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | GrantClass B Common Stock · Derivative | 7,534 | $11.06 | $83,326.04 |
DisclosureSEC source: 0001104659-18-029981 · a4.xml · derivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,777 Underlying: Class A Common Stock · 7,534 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 $83,333. The price of the derivative security is based on the closing price of the Company's shares on April 30, 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. F3 · 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 1 share due to a rounding error. Read SEC document |
| February 12, 2018 Filed Mar 2, 2018 20:32 UTC Amendment | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 1,071 | $12.30 | $13,173.30 |
DisclosureSEC source: 0001104659-18-014557 · a4a.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,071 F1 · date: This amendment is being filed to correct the "Transaction Date" and "Amount of Securities Beneficially Owned Following Reported Transaction" because of administrative errors in the originally filed Form 4. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.28 to $12.30, 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. Read SEC document |
| February 10, 2018 Filed Feb 14, 2018 19:41 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 1,071 | $12.30 | $13,173.30 |
DisclosureSEC source: 0001104659-18-009839 · a4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,071 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.28 to $12.30, 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 |
| February 09, 2018 Filed Feb 12, 2018 16:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 20,000 | $11.80 | $236,000.00 |
DisclosureSEC source: 0001104659-18-008521 · a4.xml · nonDerivative · entry 5 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 90,000 F5 · ownership.nature: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. Read SEC document |
| February 09, 2018 Filed Feb 12, 2018 16:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 5,000 | $11.50 | $57,500.00 |
DisclosureSEC source: 0001104659-18-008521 · a4.xml · nonDerivative · entry 3 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,000 F3 · price: These shares were purchased in multiple transactions, each at a price of $11.50. Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 16:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 70,000 | $12.23 | $856,100.00 |
DisclosureSEC source: 0001104659-18-008521 · a4.xml · nonDerivative · entry 4 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 70,000 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.16 to $12.30, inclusive. F5 · ownership.nature: These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC. Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 16:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 40,000 | $12.26 | $490,400.00 |
DisclosureSEC source: 0001104659-18-008521 · a4.xml · nonDerivative · entry 2 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.18 to $12.34, 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 footnotes (2) and (4) to this Form 4. Read SEC document |
| February 08, 2018 Filed Feb 12, 2018 16:23 UTC | Victory Capital Holdings, Inc. VCTR · Entity 3710 | PurchaseClass A Common Stock | 200,000 | $13.00 | $2,600,000.00 |
DisclosureSEC source: 0001104659-18-008521 · a4.xml · nonDerivative · entry 1 HAWKES JAMES B · CIK 0001225368 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F1 · shares: Represents shares purchased through the Issuer's directed share program in connection with its initial public offering. 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.