2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-05-06: Reporting owner Norden Matthew J.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2019-05-06: Reporting owner Norden Matthew J.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2019-05-06: Reporting owner Norden Matthew J.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2019-05-06: Reporting owner Norden Matthew J.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.45 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $11.00 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $19.48 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $25.52 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $22.67 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $39.66 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $56.04 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $84.03 exercise price | 2019-05-06 | ||
| 2019-05-06 holding as of filing | Norden Matthew J. Officer (Co-General Counsel) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $72.02 exercise price | 2019-05-06 | ||
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | Maybank Alexis Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | Lewis Earl Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | KRAWCHECK SALLIE Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-25 | 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) | +3,601 3,601 owned after | $61.01 exercise price | 2019-04-29 | |
| 2019-04-01 | 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) | +5,283 5,283 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-04-01 | 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) | +43,780 43,780 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-04-01 | 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) | +26,418 26,418 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-04-01 | 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) | +22,644 22,644 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-04-01 | 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) | +43,780 43,780 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-04-01 | 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) | +83,031 83,031 owned after | $72.02 exercise price | 2019-04-03 | |
| 2019-01-11 | 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 | −20,500 0 owned after | $0.60 exercise price | 2019-01-14 | |
| 2019-01-03 | 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 | −92,700 0 owned after | $0.60 exercise price | 2019-01-07 | |
| 2019-01-02 | Maybank Alexis Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,683 1,683 owned after | $49.64 exercise price | 2019-01-04 |