PZENA INVESTMENT MANAGEMENT, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows, 38 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-11-02: Reporting owner Doran Jessica R; Form 4; Security Delayed Exchange Class B Unit Options; Transaction Holding.
- 2022-11-02: Reporting owner Doran Jessica R; Form 4; Security Delayed Exchange Class B Unit Options; Transaction Holding.
- 2022-11-02: Reporting owner Fire Evan K.; Form 4; Security Delayed Exchange Class B Unit Options; Transaction Holding.
- 2022-11-02: Reporting owner Fire Evan K.; Form 4; Security Delayed Exchange Class B Unit Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-11-02 holding as of filing | Doran Jessica R Officer (Chief Financial Officer) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 100,000 owned after | $7.04 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Doran Jessica R Officer (Chief Financial Officer) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 157,480 owned after | $5.97 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Fire Evan K. Officer (Chief Operating Officer) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 150,000 owned after | $7.11 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Fire Evan K. Officer (Chief Operating Officer) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 100,000 owned after | $7.04 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Fire Evan K. Officer (Chief Operating Officer) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 78,740 owned after | $5.97 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Cai Chenyu Caroline Director, Officer (Executive Vice President) | 4 | Class B Options Derivative · Direct · (m) | Holding | 200,000 owned after | $13.89 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Cai Chenyu Caroline Director, Officer (Executive Vice President) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 300,000 owned after | $7.11 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Cai Chenyu Caroline Director, Officer (Executive Vice President) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 50,000 owned after | $7.04 exercise price | 2022-11-02 | |
| 2022-11-02 holding as of filing | Cai Chenyu Caroline Director, Officer (Executive Vice President) | 4 | Delayed Exchange Class B Unit Options Derivative · Direct · (m) | Holding | 78,740 owned after | $5.97 exercise price | 2022-11-02 | |
| 2021-11-12 | Cai Chenyu Caroline Director, Officer (Executive Vice President) | 4 | Class B Unit Option Derivative · Indirect · Pzena Investment Management, LP | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,615 0 owned after | $4.77 exercise price | 2021-11-15 | |
| 2021-06-03 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class B Unit Option Derivative · Indirect · Pzena Investment Management, LP | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 5,615 owned after | $4.77 exercise price | 2021-06-04 | |
| 2020-12-16 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class B Unit Option Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,617 0 owned after | $7.58 exercise price | 2020-12-18 | |
| 2019-12-20 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class A Common Stock Option Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −55,000 0 owned after | $8.00 exercise price | 2019-12-23 | |
| 2019-12-13 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 55,000 owned after | $8.00 exercise price | 2019-12-16 | |
| 2019-12-12 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 105,000 owned after | $8.00 exercise price | 2019-12-16 | |
| 2019-11-29 | Cai Chenyu Caroline Officer (Executive Vice President) | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 135,000 owned after | $8.00 exercise price | 2019-12-03 | |
| 2019-09-26 holding as of filing | Fire Evan K. Officer (Chief Info. & Ops Officer) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $7.11 exercise price | 2019-09-26 | ||
| 2019-09-26 holding as of filing | Fire Evan K. Officer (Chief Info. & Ops Officer) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $7.04 exercise price | 2019-09-26 | ||
| 2019-09-26 holding as of filing | Fire Evan K. Officer (Chief Info. & Ops Officer) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $5.97 exercise price | 2019-09-26 | ||
| 2019-09-16 | Doran Jessica R Officer (Chief Financial Officer) | 4 | Class B Units Options Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $8.00 exercise price | 2019-09-18 | |
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Class A common stock Option Derivative · Direct · (m) | Holding | $8.00 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Class B Unit Option Derivative · Direct · (m) | Holding | $7.58 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Class B Unit Option Derivative · Direct · (m) | Holding | $4.77 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Class B Unit Option Derivative · Direct · (m) | Holding | $13.89 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $7.11 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $7.04 exercise price | 2019-02-15 | ||
| 2019-02-15 holding as of filing | Cai Chenyu Caroline Officer (Executive Vice President) | 3 | Delayed Exchange Class B Unit Option Derivative · Direct · (m) | Holding | $5.97 exercise price | 2019-02-15 | ||
| 2019-01-01 | Doran Jessica R Officer (Chief Financial Officer) | 4 | Class B Units Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +157,480 157,480 owned after | $5.97 exercise price | 2019-01-03 | |
| 2019-01-01 | Bachman Gary J Officer (Chief Operating Officer) | 4 | Class B Units Options Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +78,740 78,740 owned after | $5.97 exercise price | 2019-01-03 | |
| 2018-01-01 | Bachman Gary J Officer (Chief Operating Officer) | 4 | Class B Units Options Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.00 | 2018-01-03 | |
| 2018-01-01 | Doran Jessica R Officer (Chief Financial Officer) | 4 | Class B Units Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 103,000 owned after | $0.00 | 2018-01-03 | |
| 2016-12-13 | Goetz John Paul Officer (President & Co-CIO) | 4 | Class B Units Option Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 0 owned after | $4.22 exercise price | 2016-12-15 | |
| 2016-07-01 holding as of filing | Doran Jessica R Officer (Chief Financial Officer) | 3 | Class B Unit Options Derivative · Direct · (m) | Holding | $8.00 exercise price | 2016-07-01 | ||
| 2015-03-09 | Lipsey William Louis Officer (Pres, Marketing/Client Srvc) | 4 | Class B Unit Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 0 owned after | $4.22 exercise price | 2015-03-11 | |
| 2015-03-09 | Pzena Richard Stanton Director, Officer (Chairman, CEO and Co-CIO) | 4 | Class B Unit Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 0 owned after | $4.22 exercise price | 2015-03-11 | |
| 2014-06-18 | DeSpirito Antonio Officer (Executive Vice President) | 4 | Class A common stock options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −250,000 0 owned after | no price filed | 2014-06-23 | |
| 2013-12-10 | Peterson Michael D Officer (Executive Vice President) | 4 | Class B Unit Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −159,869 0 owned after | $4.22 exercise price | 2013-12-12 | |
| 2013-11-22 | DeSpirito Antonio Officer (Executive VP) | 4 | Class B Unit Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −148,301 0 owned after | $4.22 exercise price | 2013-11-26 |