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Delaware
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6282
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32-0402956
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(State or other jurisdiction of
incorporation or organization) |
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(Primary Standard Industrial
Classification Code Number) |
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(I.R.S. Employer Identification
Number) |
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Large accelerated filer
☐
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Accelerated filer
☒
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Non-accelerated filer
☐
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Smaller reporting company
☐
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Emerging growth company
☒
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Title of Each Class of Securities to Be Registered
|
| | |
Amount to Be
Registered(1) |
| | |
Proposed
Maximum Offering Price per Share(2) |
| | |
Proposed
Maximum Aggregate Offering Price(2) |
| | |
Amount of Registration
Fee |
| ||||||||||||
Class A common stock, $0.01 par value
|
| | | | | 44,973,804(3) | | | | | | $ | 33.97 | | | | | | $ | 1,527,760,122 | | | | | | $ | 166,679 | | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 3 | | | |
| | | | | 4 | | | |
| | | | | 6 | | | |
| | | | | 7 | | | |
| | | | | 7 | | | |
| | | | | 7 | | | |
| | | | | 10 | | | |
| | | | | 12 | | | |
| | | | | 12 | | | |
| | | | | II-4 | | | |
| | | | | II-6 | | | |
| | | | | | | | |
Name
|
| |
Shares Beneficially Owned
Prior to Offering |
| |
Number of
Shares Covered by this Registration Statement |
| |
Shares Beneficially
Owned After the Covered Shares are Sold(1) |
| |||||||||||||||||||||||||||
|
Number of
Shares(2) |
| |
% of Total
Common Stock |
| |
% of Total
Voting Power(2) |
| |
Number of
Shares |
| |
Number
|
| |
Percent
|
| ||||||||||||||||||||
Crestview Victory(3)
|
| | | | 35,251,136 | | | | | | 51.8% | | | | | | 65.9% | | | | | | 35,251,136 | | | | | | 0 | | | | | | * | | |
Crestview(3) | | | | | 10,928 | | | | | | * | | | | | | * | | | | | | 10,928 | | | | | | 0 | | | | | | * | | |
Reverence Capital Partners Opportunities Fund I, L.P. (4)
|
| | | | 3,456,070 | | | | | | 5.1% | | | | | | 6.5% | | | | | | 3,456,070 | | | | | | 0 | | | | | | * | | |
Reverence Capital Partners Opportunities Fund I (Cayman), L.P. (4)
|
| | | | 2,873,496 | | | | | | 4.2% | | | | | | 5.4% | | | | | | 2,873,496 | | | | | | 0 | | | | | | * | | |
Reverence Capital Partners Opportunities Fund I (AI), L.P.(4)
|
| | | | 55,259 | | | | | | * | | | | | | * | | | | | | 55,259 | | | | | | 0 | | | | | | * | | |
RCP Lake Co-Invest, L.P.(4)
|
| | | | 3,326,915 | | | | | | 4.9% | | | | | | 6.2% | | | | | | 3,326,915 | | | | | | 0 | | | | | | * | | |
| | |
Amount to be Paid
|
| |||
SEC registration fee
|
| | | $ | 166,679 | | |
Legal fees and expenses
|
| | | | 50,000* | | |
Accounting fees and expenses
|
| | | | 30,000* | | |
Printing Fees
|
| | | | 20,000* | | |
Miscellaneous
|
| | | | 20,000* | | |
TOTAL
|
| | | | 286,679* | | |
| | | | VICTORY CAPITAL HOLDINGS, INC. | | |||
| | | | By: | | |
/s/ David C. Brown
Name: David C. Brown
Title: Chairman and Chief Executive Officer |
|
|
Signature
|
| |
Title
|
| |
Date
|
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/s/ David C. Brown
David C. Brown
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| |
Chairman and Chief Executive Officer (Principal Executive Officer)
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September 24, 2021
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|
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/s/ Michael Policarpo
Michael Policarpo
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President, Chief Financial Officer and Chief Administrative Officer (Principal Financial Officer and Principal Accounting Officer)
|
| |
September 24, 2021
|
|
|
/s/ Milton R. Berlinski
Milton R. Berlinski
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Alex Binderow
Alex Binderow
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Lawrence Davanzo
Lawrence Davanzo
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Richard M. DeMartini
Richard M. DeMartini
|
| |
Director
|
| |
September 24, 2021
|
|
|
Signature
|
| |
Title
|
| |
Date
|
|
|
/s/ James B. Hawkes
James B. Hawkes
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Karin Hirtler-Garvey
Karin Hirtler-Garvey
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Robert J. Hurst
Robert J. Hurst
|
| |
Director
|
| |
September 24, 2021
|
|
|
/s/ Alan H. Rappaport
Alan H. Rappaport
|
| |
Director
|
| |
September 24, 2021
|
|
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Exhibit
Number |
| |
Description
|
|
| 1.1 | | | Form of Underwriting Agreement * | |
| 3.1 | | | | |
| 3.2 | | | | |
| 4.1 | | | | |
| 4.2 | | | | |
| 4.3 | | | Second Amended and Restated Shareholders’ Agreement between the Registrant and the investors listed on the signature pages thereto (previously filed as Exhibit 4.3 to Form S-1 filed on February 6, 2018) | |
| 4.4 | | | | |
| 5.1 | | | | |
| 23.1 | | | | |
| 23.2 | | | | |
| 24.1 | | | |