# EDGAR Filing Document

**Accession Number:** 0001570827
**File Stem:** 0001193125-23-016889
**Filing Date:** 2023-1
**Character Count:** 9953
**Document Hash:** 66b99711fee2cf46fcd2d701cc34659c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-016889.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001193125-23-016889

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230126

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Victory Capital Holdings, Inc.
- **CENTRAL INDEX KEY:** 0001570827
- **STANDARD INDUSTRIAL CLASSIFICATION:** INVESTMENT ADVICE [6282]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38388
- **FILM NUMBER:** 23559736

**BUSINESS ADDRESS:**
- **STREET 1:** 4900 TIEDEMANN ROAD
- **STREET 2:** 4TH FLOOR
- **CITY:** BROOKLYN
- **STATE:** OH
- **ZIP:** 44144
- **BUSINESS PHONE:** 216-898-2400

**MAIL ADDRESS:**
- **STREET 1:** 4900 TIEDEMANN ROAD
- **STREET 2:** 4TH FLOOR
- **CITY:** BROOKLYN
- **STATE:** OH
- **ZIP:** 44144

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### January 26, 2023

#### Date of Report (date of earliest event reported)

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## Victory Capital Holdings, Inc.

#### (Exact name of registrant as specified in its charter)

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---

| | | |
|:---|:---|:---|
| **Delaware** | **001-38388** | **32-0402956** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

---

| | |
|:---|:---|
| **15935 La Cantera Parkway; San Antonio, TX** | **78256** |
| **(Address of principal executive offices)** | **(Zip Code)** |

---

(216) 898-2400

#### (Registrant's telephone number, including area code)

#### Not Applicable

#### (Former name or former address, if changed since last report)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrants under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Class A Common Stock, Par Value $0.01 | VCTR | NASDAQ |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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#### Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On January 26, 2023, the Board of Directors (the "Board") of Victory Capital (the "Company") voted to add Vice Admiral Mary Jackson to the Board as a Class II Director. Vice Admiral Jackson has over three decades of service in the United States Navy and currently serves on public and private company boards. Vice Admiral Jackson holds a bachelor's degree in Physics from the United States Naval Academy and a Master of Engineering Management degree from George Washington University. Vice Admiral Jackson does not have any family relationships with any of the Company's other officers or directors and does not have any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. Vice Admiral Jackson will receive standard directors fees.

#### Item 7.01. Regulation FD Disclosure.
On January 27, 2023, the Company issued a press release announcing the addition of Mary Jackson as a Class II Director on the Company's Board. A copy of the press release is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K.

#### Item 9.01. Financial Statements and Exhibits.
*(a)* *Exhibits.* 

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| | |
|:---|:---|
| **Exhibit<br>Number** | **Description** |
| 99.1 | [Press Release, dated January 27, 2023.](d456778dex991.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

---

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#### SIGNATURE(S)
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **VICTORY CAPITAL HOLDINGS, INC.** | **VICTORY CAPITAL HOLDINGS, INC.** |
| Date: January 27, 2023 | By: | /s/ MICHAEL D. POLICARPO |
|  |  | Name: Michael D. Policarpo |
|  |  | Title: President, Chief Financial Officer and Chief Administrative Officer |

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## Exhibit 99.1

**Exhibit 99.1** 

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| | |
|:---|:---|
| ![LOGO](g456778g0124030738611.jpg) | News Release |

---

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**Victory Capital Appoints Vice Admiral Mary M. Jackson to Board of Directors** 

**San Antonio, Texas, January 27, 2023 —** Victory Capital Holdings, Inc. (NASDAQ: VCTR) ("Victory Capital" or the "Company") today reported that its Board of Directors has appointed Vice Admiral (Retired) Mary M. Jackson as a Class II Director.

Commenting on the appointment, David Brown, Chairman and CEO said: "Mary brings a wealth of experience to our Board from her more than three decades of service in the U.S. Navy where she led operations on a global scale, including the development of strategic plans, policy, resourcing, compliance, and oversight. Following her Navy career, she continues to support others through leadership training and Board service on behalf of both public and private organizations. We look forward to her contributions as a member of our corporate Board."

Admiral Jackson's experience includes business continuity, sustainability, efficiency, resiliency, and compliance through data-driven audit analytics, digital transformation, risk-based assessments, and innovation while ensuring integration of environmental, social, and governance (ESG) assurance metrics. She has extensive executive experience leading diverse, inclusive teams to consistently drive results, implement change, and exceed organizational goals and objectives. Admiral Jackson has demonstrated dynamic leadership for large-scale operations, contingency planning, risk mitigation, strategic transformation, and diversity to boardroom governance and oversight as well as executive-level advisory and consulting services throughout her career.

Commenting on the appointment, Admiral Jackson added: "I am thrilled to be joining the Victory Capital Board and look forward to working with the impressive Board and management team to help advance their strategies for growth and shareholder value."

As an early pioneer of women serving in Navy ships, Admiral Jackson commanded the guided missile destroyer USS McFAUL (DDG 74) and Naval Station Norfolk. She earned her bachelor's degree in Physics (Oceanography emphasis) from the United States Naval Academy and a master's degree of Engineering Management from George Washington University.

**About Victory Capital** 

Victory Capital is a diversified global asset management firm with $153.0 billion in assets under management as of December 31, 2022. It was ranked No. 55 on the *Fortune* 100 Fastest-Growing Companies list for 2022 and is one of only 24 companies to make the list for the second consecutive year. The Company operates a next-generation business model combining boutique investment qualities with the benefits of a fully integrated, centralized operating and distribution platform.

Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors. With 12 autonomous Investment Franchises and a Solutions Platform, Victory Capital offers a wide array of investment products, including mutual funds, ETFs, separately managed accounts, alternative investments, third-party ETF model strategies, collective investment trusts, private funds, and a 529 Education Savings Plan.

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For more information, please visit <u>vcm.com</u> or follow us: <u>Twitter</u> and <u>LinkedIn</u>

**Contacts** 

**Investors:** 

Matthew Dennis, CFA

Chief of Staff

Director, Investor Relations

216-898-2412

mdennis@vcm.com

**Media:**

Jessica Davila

Director of Global Communications

210-694-9693

<u>Jessica_davila@vcm.com</u> 

**From Fortune. <sup>©</sup> 2022 Fortune Media IP Limited All rights reserved.** *Fortune* is a registered trademark of Fortune Media IP Limited and is used under license. Fortune and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Victory Capital Holdings, Inc.

The *Fortune* annual list ranks the top performing, publicly traded companies in revenues, profits and stock returns over the three-year period ended April 30, 2022.