2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 54 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-19: Reporting owner Rinehart Jeff C; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-19: Reporting owner Paucek Christopher J; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-18: Reporting owner Paucek Christopher J; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-08: Reporting owner Rinehart Jeff C; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-12-19 | Rinehart Jeff C Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,800 187,800 owned after | $2.86 exercise price | 2014-12-22 | |
| 2014-12-19 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 306,941 owned after | $3.08 exercise price | 2014-12-22 | |
| 2014-12-18 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 310,341 owned after | $3.08 exercise price | 2014-12-22 | |
| 2014-12-08 | Rinehart Jeff C Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,800 194,600 owned after | $2.86 exercise price | 2014-12-10 | |
| 2014-11-21 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 313,741 owned after | $3.08 exercise price | 2014-11-24 | |
| 2014-11-20 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 317,141 owned after | $3.08 exercise price | 2014-11-24 | |
| 2014-11-17 | Kenigsberg James Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,700 99,900 owned after | $0.60 exercise price | 2014-11-19 | |
| 2014-10-22 | Rinehart Jeff C Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,800 201,400 owned after | $2.86 exercise price | 2014-10-23 | |
| 2014-10-22 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 320,541 owned after | $3.08 exercise price | 2014-10-23 | |
| 2014-10-21 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 323,941 owned after | $3.08 exercise price | 2014-10-23 | |
| 2014-10-20 | Kenigsberg James Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,700 106,600 owned after | $0.60 exercise price | 2014-10-21 | |
| 2014-09-26 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 327,341 owned after | $3.08 exercise price | 2014-09-29 | |
| 2014-09-26 | Rinehart Jeff C Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,800 208,200 owned after | $2.86 exercise price | 2014-09-29 | |
| 2014-09-25 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,400 330,741 owned after | $3.08 exercise price | 2014-09-29 | |
| 2014-09-25 | Kenigsberg James Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,700 113,300 owned after | $0.60 exercise price | 2014-09-29 | |
| 2014-04-11 | STAVIS ROBERT M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-11 | Moe Michael T. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-11 | CHERNIS MARK Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-11 | HALEY TIMOTHY M Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-11 | LARSON JOHN M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-11 | MAEDER PAUL A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,389 7,389 owned after | $12.94 exercise price | 2014-04-15 | |
| 2014-04-02 | Rinehart Jeff C Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 215,000 owned after | $2.86 exercise price | 2014-04-02 | |
| 2014-04-02 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,944 71,056 owned after | $1.82 exercise price | 2014-04-02 | |
| 2014-04-02 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,197 0 owned after | $3.08 exercise price | 2014-04-02 | |
| 2014-04-02 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −65,859 334,141 owned after | $3.08 exercise price | 2014-04-02 | |
| 2014-03-27 | KRAWCHECK SALLIE Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $13.00 exercise price | 2014-03-31 | |
| 2014-03-27 | Lewis Earl Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $13.00 exercise price | 2014-03-31 | |
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.82 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | COHEN ROBERT Director, Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | CHERNIS MARK Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.60 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | CHERNIS MARK Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $5.75 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | GRAHAM CATHERINE A Officer (Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | GRAHAM CATHERINE A Officer (Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.60 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.82 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.75 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Kenigsberg James Officer (Chief Technical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | LARSON JOHN M Director | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $0.80 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.60 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.82 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.75 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.45 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Paucek Christopher J Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Rinehart Jeff C Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.86 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Rinehart Jeff C Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Rinehart Jeff C Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.08 exercise price | 2014-03-27 | ||
| 2014-03-27 holding as of filing | Rinehart Jeff C Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2014-03-27 |