2U, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows, 56 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-04-02: Reporting owner HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-02: Reporting owner HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-02: Reporting owner HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP; Form 4; Security Series D Preferred Stock; Transaction C Conversion of derivative security.
- 2014-04-02: Reporting owner LARSON JOHN M; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-04-02 | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −2,747,352 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −475,899 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Capital Partners VII-C LP | Highland Management Partners VII Limited Partnership | Highland Management Partners VII, LLC | Highland Entrepreneurs Fund VII Limited Partnership | Highland Capital Partners VII LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −319,914 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | LARSON JOHN M Director | 4 | Series A Preferred Stock Derivative · Indirect · By Triumph Capital | C Conversion of derivative security | −446,940 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | LARSON JOHN M Director | 4 | Series B Preferred Stock Derivative · Indirect · By Triumph Capital | C Conversion of derivative security | −137,125 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | LARSON JOHN M Director | 4 | Series C Preferred Stock Derivative · Indirect · By Triumph Capital | C Conversion of derivative security | −118,494 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | LARSON JOHN M Director | 4 | Series D Preferred Stock Derivative · Indirect · By Triumph Capital | C Conversion of derivative security | −31,991 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | Moe Michael T. Director | 4 | Series A Preferred Stock Derivative · Indirect · By GSV Capital | C Conversion of derivative security | −167,431 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | STAVIS ROBERT M Director | 4 | Series C Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −0 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | STAVIS ROBERT M Director | 4 | Series D Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −0 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | Novak Biddle Venture Partners V L P 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,127,827 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | Novak Biddle Venture Partners V L P 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −672,468 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | Novak Biddle Venture Partners V L P 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −485,070 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | Novak Biddle Venture Partners V L P 10% Owner | 4 | Series D Preferred Stock Derivative · Direct | C Conversion of derivative security | −127,965 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | MAEDER PAUL A Director | 4 | Series B Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −2,747,352 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | MAEDER PAUL A Director | 4 | Series C Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −475,899 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | MAEDER PAUL A Director | 4 | Series D Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −319,914 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HALEY TIMOTHY M Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −4,728,505 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HALEY TIMOTHY M Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −1,185,498 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HALEY TIMOTHY M Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −681,075 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | HALEY TIMOTHY M Director, 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −639,828 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | REDPOINT VENTURES III LP | Redpoint Ventures III, LLC | Redpoint Associates III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −4,728,505 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | REDPOINT VENTURES III LP | Redpoint Ventures III, LLC | Redpoint Associates III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −1,185,498 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | REDPOINT VENTURES III LP | Redpoint Ventures III, LLC | Redpoint Associates III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −681,075 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | REDPOINT VENTURES III LP | Redpoint Ventures III, LLC | Redpoint Associates III, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series D Preferred Stock Derivative · Indirect · By funds | C Conversion of derivative security | −639,828 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | COHEN ROBERT Officer (Chief Operating Officer) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −223,470 0 owned after | $0.00 | 2014-04-02 | |
| 2014-04-02 | COHEN ROBERT Officer (Chief Operating Officer) | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −106,474 0 owned after | $0.00 | 2014-04-02 | |
| 2014-03-27 holding as of filing | STAVIS ROBERT M Director | 3 | Series C Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | STAVIS ROBERT M Director | 3 | Series D Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Moe Michael T. Director | 3 | Series A Preferred Stock Derivative · Indirect · By GSV Capital | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series A Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series B Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series C Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series D Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | LARSON JOHN M Director | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | LARSON JOHN M Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | LARSON JOHN M Director | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | LARSON JOHN M Director | 3 | Series D Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | MAEDER PAUL A Director | 3 | Series B Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | MAEDER PAUL A Director | 3 | Series C Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | MAEDER PAUL A Director | 3 | Series D Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Novak Biddle Venture Partners V L P 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Novak Biddle Venture Partners V L P 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Novak Biddle Venture Partners V L P 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Novak Biddle Venture Partners V L P 10% Owner | 3 | Series D Preferred Stock Derivative · Direct | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Redpoint Associates III, LLC | Redpoint Ventures III, LLC | REDPOINT VENTURES III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Redpoint Associates III, LLC | Redpoint Ventures III, LLC | REDPOINT VENTURES III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Redpoint Associates III, LLC | Redpoint Ventures III, LLC | REDPOINT VENTURES III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Redpoint Associates III, LLC | Redpoint Ventures III, LLC | REDPOINT VENTURES III LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series C Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HALEY TIMOTHY M Director | 3 | Series D Preferred Stock Derivative · Indirect · By Funds | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Entrepreneurs Fund VII Limited Partnership | Highland Management Partners VII Limited Partnership | Highland Capital Partners VII LP | Highland Management Partners VII, LLC | Highland Capital Partners VII-C LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Entrepreneurs Fund VII Limited Partnership | Highland Management Partners VII Limited Partnership | Highland Capital Partners VII LP | Highland Management Partners VII, LLC | Highland Capital Partners VII-C LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-27 | ||
| 2014-03-27 holding as of filing | HIGHLAND CAPITAL PARTNERS VII-B L P | Highland Entrepreneurs Fund VII Limited Partnership | Highland Management Partners VII Limited Partnership | Highland Capital Partners VII LP | Highland Management Partners VII, LLC | Highland Capital Partners VII-C LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2014-03-27 |