UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

FORM 8‑K


CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
 
October 10, 2019
Date of Report (date of earliest event reported)
 


Victory Capital Holdings, Inc.
(Exact name of registrant as specified in its charter)


Delaware
001‑38388
32‑0402956
(State or other jurisdiction
(Commission
(IRS Employer
of incorporation)
File Number)
Identification No.)

4900 Tiedeman Road, 4th Floor; Brooklyn, OH
 
44144
(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)



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:

     
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Class A Common Stock, Par Value $0.01
VCTR
NASDAQ
 
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. ☐



Item 8.01. Other Events.
 
On October 10, 2019, Victory Capital Holdings, Inc., (the “Company”) issued a press release reporting certain information about the Company’s assets under management (“AUM”) as of September 30, 2019. A copy of that press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
 
Item 9.01. Financial Statements and Exhibits.
 
(d) Exhibits
 
Exhibit
    
 
Number
 
Description
 
-2-

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.
 
 
VICTORY CAPITAL HOLDINGS, INC.
 
       
       
Date: October 10, 2019
By:
/s/ MICHAEL D. POLICARPO
 
   
Name: Michael D. Policarpo
 
   
Title: President, Chief Financial Officer and Chief
Administrative Officer
 

-3-
Exhibit 99.1


Victory Capital Reports September 30, 2019 Assets Under Management

SAN ANTONIO, Texas--(BUSINESS WIRE)--October 10, 2019--Victory Capital Holdings, Inc. (NASDAQ: VCTR) (“Victory Capital” or the “Company”) today reported assets under management (AUM) of $145.8 billion on September 30, 2019.

Assets Under Management1
(unaudited; in millions)






 


As of

By Asset Class

September 30, 2019

 

August 31, 2019

Fixed Income

$

37,784


$

37,940

Solutions

29,579



29,414

U.S. Mid Cap Equity

25,479



25,157

U.S. Small Cap Equity

16,266



15,952

U.S. Large Cap Equity

13,488



13,543

Global / Non-U.S. Equity

11,532



11,303

Other

243



258

Total Long-Term Assets

$

134,371


$

133,568

Money Market Assets

11,460



11,416

Total Assets Under Management

$

145,832


$

144,984







 






 
By Vehicle





Mutual Funds2

$

114,071


$

113,372

Separate Accounts and Other Vehicles3

27,894



27,810

ETFs

3,867



3,802

Total Assets Under Management

$

145,832


$

144,984

1


Due to rounding, numbers presented in these tables may not add up precisely to the totals provided.

2


Includes institutional and retail share classes, money market and VIP funds.

3


Includes collective trust funds, wrap program accounts and unified managed accounts.

About Victory Capital

Victory Capital is a global investment management firm operating a next-generation, integrated multi-boutique business model with $145.8 billion in assets under management as of September 30, 2019.

Victory Capital provides specialized investment strategies to institutions, intermediaries, retirement platforms and individual investors, including USAA members through its direct member channel. Through its Investment Franchises and Solutions Platform, Victory Capital offers a diverse array of independent investment approaches and innovative investment vehicles designed to drive better investor outcomes. This includes actively managed mutual funds and separately managed accounts, rules-based and active ETFs, multi-asset class strategies, custom solutions and a 529 College Savings Plan.

For more information, please visit www.vcm.com or follow us on Twitter and LinkedIn.

USAA is a trademark of United Services Automobile Association and is being used by Victory Capital and its affiliates under license. Victory Capital and its affiliates are not affiliated with USAA or its affiliates.

Contacts

Investors:
Matthew Dennis, CFA
Chief of Staff & Director, Investor Relations
216-898-2412
mdennis@vcm.com

Media:
Tricia Ross
310-622-8226
tross@finprofiles.com