2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-09-12: 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.
- 2018-09-10: 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.
- 2018-09-05: 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.
- 2018-08-06: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-09-12 | CHERNIS MARK Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 20,500 owned after | $0.60 exercise price | 2018-09-13 | |
| 2018-09-10 | 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 | −75,000 131,618 owned after | $5.75 | 2018-09-12 | |
| 2018-09-05 | 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 | −7,200 92,700 owned after | $0.60 exercise price | 2018-09-06 | |
| 2018-08-06 | 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 | −334,000 0 owned after | $0.60 exercise price | 2018-08-07 | |
| 2018-06-12 | CHERNIS MARK Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 30,500 owned after | $0.60 exercise price | 2018-06-14 | |
| 2018-05-22 | CHERNIS MARK 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) | +39,189 39,189 owned after | $91.64 exercise price | 2018-05-23 | |
| 2018-05-07 | Ellis John B. Officer (Chief Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,808 3,808 owned after | $88.31 exercise price | 2018-05-09 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | Peters Gregory K Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | Peters Gregory K Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +683 2,187 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | Lewis Earl Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | KRAWCHECK SALLIE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | JARRETT VALERIE B Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-25 | 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) | +1,504 1,504 owned after | $78.77 exercise price | 2018-04-27 | |
| 2018-04-16 | 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 | −170,000 206,618 owned after | $5.75 | 2018-04-18 | |
| 2018-04-02 | 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) | +70,399 70,399 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-04-02 | 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) | +191,362 191,362 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-04-02 | 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) | +37,119 37,119 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-04-02 | 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) | +19,199 19,199 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-04-02 | Mokkarala Harsha Officer (Chief Revenue Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,199 19,199 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-04-02 | 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) | +4,479 4,479 owned after | $84.03 exercise price | 2018-04-03 | |
| 2018-03-13 | 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 | −10,000 40,500 owned after | $0.60 exercise price | 2018-03-15 | |
| 2018-01-02 | JARRETT VALERIE B Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,305 1,305 owned after | $64.51 exercise price | 2018-01-04 |