4//SEC Filing
HAWKES JAMES B 4
Accession 0001209191-21-066661
CIK 0001570827other
Filed
Nov 22, 7:00 PM ET
Accepted
Nov 23, 8:30 PM ET
Size
14.0 KB
Accession
0001209191-21-066661
Insider Transaction Report
Form 4
HAWKES JAMES B
Director
Transactions
- Conversion
Class B Common Stock
2021-11-23−292,685→ 0 total(indirect: See Footnote)→ Class A Common Stock (292,685 underlying) - Conversion
Class B Common Stock
2021-11-23−411,111→ 0 total→ Class A Common Stock (411,111 underlying) - Conversion
Common Stock
2021-11-23+292,685→ 382,685 total(indirect: See Footnote) - Conversion
Common Stock
2021-11-23+411,111→ 413,111 total
Holdings
- 71,000(indirect: See Footnote)
Common Stock
- 277,464(indirect: See Footnote)
Common Stock
Footnotes (4)
- [F1]These securities are held directly by James B Hawkes 2012 Revocable U/A DTD 12/10/2012, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by James B Hawkes 2012 Revocable U/A DTD 12/10/2012 except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by James B Hawkes 2012 Revocable U/A DTD 12/10/2012.
- [F2]These securities are held directly by Hawkes Nest, LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Nest, LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Nest, LLC.
- [F3]On November 19, 2021, Victory Capital Holdings, Inc., the Company, held a special meeting of stockholders at which the stockholders approved an amendment to the Companys certificate of incorporation to convert all outstanding shares of Class B Common Stock into an equal number of shares of Class A Common Stock on a one-for-one basis, the Conversion. The Conversion was effective on November 23, 2021, upon the Companys filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware.
- [F4]These securities are held directly by Hawkes Family LLC, which is controlled by Mr. Hawkes. Mr. Hawkes disclaims beneficial ownership of the shares held by Hawkes Family LLC except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that Mr. Hawkes is the beneficial owner of the shares held by Hawkes Family LLC.
Documents
Issuer
Victory Capital Holdings, Inc.
CIK 0001570827
Entity typeother
Related Parties
1- filerCIK 0001225368
Filing Metadata
- Form type
- 4
- Filed
- Nov 22, 7:00 PM ET
- Accepted
- Nov 23, 8:30 PM ET
- Size
- 14.0 KB