2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-14: 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.
- 2017-12-13: 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.
- 2017-11-16: 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.
- 2017-11-16: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-14 | 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 | −50,000 334,000 owned after | $0.60 exercise price | 2017-12-15 | |
| 2017-12-13 | 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 50,500 owned after | $0.60 exercise price | 2017-12-14 | |
| 2017-11-16 | 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 | +39,080 11,662 owned after | $3.08 exercise price | 2017-11-17 | |
| 2017-11-16 | 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 | +20,000 376,618 owned after | $5.75 exercise price | 2017-11-17 | |
| 2017-11-15 | 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 | +59,259 50,742 owned after | $3.08 exercise price | 2017-11-17 | |
| 2017-11-10 | Mokkarala Harsha 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 | −8,518 18,740 owned after | $22.67 exercise price | 2017-11-13 | |
| 2017-11-10 | Mokkarala Harsha 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 | −166 22,939 owned after | $8.45 exercise price | 2017-11-13 | |
| 2017-11-10 | Mokkarala Harsha 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 | −11,253 7,567 owned after | $11.00 exercise price | 2017-11-13 | |
| 2017-10-09 | Hammond Rani Officer (Chief People Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,093 12,093 owned after | $57.99 exercise price | 2017-10-11 | |
| 2017-09-13 | 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 55,000 owned after | $0.60 exercise price | 2017-09-15 | |
| 2017-09-06 | LARSON JOHN M Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $0.80 | 2017-09-08 | |
| 2017-07-10 | Sutphen David Officer (Chief Communications Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,093 15,093 owned after | $46.76 exercise price | 2017-07-12 | |
| 2017-06-14 | 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 59,500 owned after | $0.60 exercise price | 2017-06-16 | |
| 2017-06-07 | 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 | −13,695 13,421 owned after | $11.00 exercise price | 2017-06-09 | |
| 2017-06-07 | 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 | −13,112 13,503 owned after | $25.52 exercise price | 2017-06-09 | |
| 2017-05-18 | HALEY TIMOTHY M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,389 0 owned after | $12.94 exercise price | 2017-05-22 | |
| 2017-05-18 | HALEY TIMOTHY M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,698 1,350 owned after | $25.52 exercise price | 2017-05-22 | |
| 2017-05-18 | HALEY TIMOTHY M Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,652 3,305 owned after | $23.07 exercise price | 2017-05-22 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | CHERNIS MARK Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | KRAWCHECK SALLIE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | Lewis Earl Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-04 | 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) | +2,899 2,899 owned after | $39.69 exercise price | 2017-04-06 | |
| 2017-04-03 | 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) | +39,178 39,178 owned after | $39.66 exercise price | 2017-04-05 | |
| 2017-04-03 | 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) | +62,685 62,685 owned after | $39.66 exercise price | 2017-04-05 | |
| 2017-04-03 | 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) | +31,342 31,342 owned after | $39.66 exercise price | 2017-04-05 | |
| 2017-04-03 | 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) | +31,342 31,342 owned after | $39.66 exercise price | 2017-04-05 | |
| 2017-04-03 | 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) | +39,178 39,178 owned after | $39.66 exercise price | 2017-04-05 | |
| 2017-04-03 | Papaconstantopoulos Andrea Officer (SVP, Corp. Controller and CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,141 9,141 owned after | $39.66 exercise price | 2017-04-05 |