2U, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-07-01: 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.
- 2020-07-01: 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.
- 2020-05-19: 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.
- 2020-05-11: 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.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-07-01 | 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 | −11,662 0 owned after | $3.08 exercise price | 2020-07-02 | |
| 2020-07-01 | 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 | −1,000 22,985 owned after | $5.75 exercise price | 2020-07-02 | |
| 2020-05-19 | 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 | −35,639 0 owned after | $1.82 exercise price | 2020-05-21 | |
| 2020-05-11 | 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 | −20,000 0 owned after | $1.82 exercise price | 2020-05-13 |