RCP Lake Co-Invest, L.P.'s Form 4 filing
Victory Capital Holdings, Inc. (VCTR) · filed Nov 24, 2021
- Accession no.
- 0001104659-21-143558
- Filed
- Nov 24, 2021, 4:11 PM ET
- Trade date
- Nov 22-23, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 14 non-derivative transactions and 10 derivative transactions. Open-market sales total $29.4M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| RCP Lake Co-Invest, L.P.CIK 0001606112 | Director, 10% Owner |
| Reverence Capital Partners Opportunities Fund I (AI), L.P.CIK 0001621529 | Director, 10% Owner |
| Reverence Capital Partners Opportunities Fund I, L.P.CIK 0001621530 | Director, 10% Owner |
| Reverence Capital Partners Opportunities Fund I (Cayman), L.P.CIK 0001621531 | Director, 10% Owner |
| Berlinski Milton R.CIK 0001729927 | Director, 10% Owner |
| RCP GenPar HoldCo LLCCIK 0001731503 | Director, 10% Owner |
| RCP GenPar LPCIK 0001731545 | Director, 10% Owner |
| RCP Opp Fund I GP, L.P.CIK 0001731553 | Director, 10% Owner |
| RCP Co-Invest GP LLCCIK 0001731555 | Director, 10% Owner |
| Reverence Capital Partners LLCCIK 0001731602 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2021 | Class A Common Stock | CConversionAcquired | +307,385 | –F1 | – | 307,385 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionAcquired | +255,571 | –F1 | – | 255,571 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionAcquired | +4,915 | –F1 | – | 4,915 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionAcquired | +295,898 | –F1 | – | 295,898 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | SSaleDisposed | −307,385 | $34.00 | −$10,451,090 | 0 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | SSaleDisposed | −255,571 | $34.00 | −$8,689,414 | 0 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | SSaleDisposed | −4,915 | $34.00 | −$167,110 | 0 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | SSaleDisposed | −295,898 | $34.00 | −$10,060,532 | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +3,148,685 | –F10 | – | 3,148,685 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +2,617,925 | –F10 | – | 2,617,925 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +50,344 | –F10 | – | 50,344 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +3,031,017 | –F10 | – | 3,031,017 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +184,231 | –F10 | – | 184,231 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionAcquired | +294,225 | –F10 | – | 294,225 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2021 | Class A Common Stock | CConversionDisposed | −307,385 | –F1 | – | 3,148,685 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionDisposed | −255,571 | –F1 | – | 2,617,925 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionDisposed | −4,915 | –F1 | – | 50,344 | Indirect | |
| Nov 22, 2021 | Class A Common Stock | CConversionDisposed | −295,898 | –F1 | – | 3,031,017 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −3,148,685 | –F10 | – | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −2,617,925 | –F10 | – | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −50,344 | –F10 | – | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −3,031,017 | –F10 | – | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −184,231 | –F10 | – | 0 | Indirect | |
| Nov 23, 2021 | Class A Common Stock | CConversionDisposed | −294,225 | –F10 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Reflects the conversion of shares of Class B Common Stock of the Issuer ("Class B Shares") into shares of Class A Common Stock of the Issuer ("Class A Shares") on a one-for-one basis. Class B Shares are convertible into Class A Shares on a one-for-one basis at any time by the holder and have no expiration date.
Referenced by the price of 4 transactions in Table I and 4 transactions in Table II.
- F10
On November 19, 2021, the Issuer held a special meeting of stockholders at which the stockholders approved an amendment to the Issuer's certificate of incorporation to convert all outstanding shares of Class B Shares into an equal number of shares of Class A Shares on a one-for-one basis (the "Conversion"). The Conversion was effected on November 23, 2021, upon the Issuer's filing of its amended and restated certificate of incorporation with the Secretary of State of the State of Delaware.
Referenced by the price of 6 transactions in Table I and 6 transactions in Table II.