2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-19: Reporting owner Kenigsberg James; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-19: Reporting owner Kenigsberg James; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-15: 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.
- 2016-12-09: Reporting owner CHERNIS MARK; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-19 | 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 | +1,565 26,615 owned after | $25.52 exercise price | 2016-12-21 | |
| 2016-12-19 | 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 | +4,672 27,116 owned after | $11.00 exercise price | 2016-12-21 | |
| 2016-12-15 | 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 | +52,506 110,001 owned after | $3.08 exercise price | 2016-12-15 | |
| 2016-12-09 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 64,000 owned after | $0.60 exercise price | 2016-12-12 | |
| 2016-09-22 | 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 | +3,132 14,589 owned after | $5.75 exercise price | 2016-09-26 | |
| 2016-09-22 | 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 | +2,336 31,788 owned after | $11.00 exercise price | 2016-09-26 | |
| 2016-09-09 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 68,500 owned after | $0.60 exercise price | 2016-09-12 | |
| 2016-07-01 | Rushing Coretha M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,692 4,692 owned after | $29.53 exercise price | 2016-07-06 | |
| 2016-06-10 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 73,000 owned after | $0.60 exercise price | 2016-06-13 | |
| 2016-04-05 | STAVIS ROBERT M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | MAEDER PAUL A Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | Macias Edward S. Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | Lewis Earl Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | LARSON JOHN M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | KRAWCHECK SALLIE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | HALEY TIMOTHY M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-05 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,957 4,957 owned after | $23.07 exercise price | 2016-04-07 | |
| 2016-04-01 | Papaconstantopoulos Andrea Officer (SVP, Corp.Controller and CAO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,631 8,631 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | Mokkarala Harsha Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,258 27,258 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | Kenigsberg James Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,073 34,073 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | Kenigsberg James Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,666 11,666 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | Paucek Christopher J Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,862 90,862 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | GRAHAM CATHERINE A Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +34,073 34,073 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-04-01 | Cates Susan E. Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,888 40,888 owned after | $22.67 exercise price | 2016-04-05 | |
| 2016-03-10 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 77,500 owned after | $0.60 exercise price | 2016-03-14 | |
| 2016-01-29 holding as of filing | Mokkarala Harsha Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.45 exercise price | 2016-01-29 | ||
| 2016-01-29 holding as of filing | Mokkarala Harsha Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2016-01-29 | ||
| 2016-01-29 holding as of filing | Mokkarala Harsha Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $25.52 exercise price | 2016-01-29 | ||
| 2016-01-29 holding as of filing | Mokkarala Harsha Officer (Chief Marketing Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $30.83 exercise price | 2016-01-29 | ||
| 2016-01-02 | Papaconstantopoulos Andrea Officer (SVP, Corp Controller & CAO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,899 1,899 owned after | $27.98 exercise price | 2016-01-05 |