CAI CHENYU CAROLINE

PrivateCIK: 1768116

Location

NEW YORK, NY

CAI CHENYU CAROLINE (Executive Vice President) reported 2 transactions at PZENA INVESTMENT MANAGEMENT, INC.

Review the transaction codes below to understand the nature of each event.

CAI CHENYU CAROLINE

Filed: 11/2/2022ACC: 0000929638-22-001641

InsiderCAI CHENYU CAROLINECIK 1768116

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

Officer· Executive Vice President

Since Feb 2019

-1.12M

Net shares

Net seller

$1.71M

Total sold

0

Open market trades

0B · 0S

2

Total transactions

1.12M disposed

Non-Derivative Transactions2

Class A Common Stock, par value $0.01

Direct

U · U

Shares

−178.60K

Price / share

$9.60

Trade value

$1.71M

% of position

New position

10/31/2022

178.60K→0.00

Class B Common Stock, par value $0.000001

Indirect

U · U

Shares

−940.13K

Price / share

—

Trade value

—

% of position

New position

10/31/2022

940.13K→0.00

Total

Net shares

−1.12M

Net value

-$1.71M

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class A Common Stock, par value $0.01 Direct	10/31/2022	U · U	−178.60K	$9.60	$1.71M	New position	178.60K	0.00
Class B Common Stock, par value $0.000001 Indirect	10/31/2022	U · U	−940.13K	—	—	New position	940.13K	0.00
Total			−1.12M		-$1.71M

Derivative Transactions0

No derivative transactions reported

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)8

Delayed Exchange Class B Unit Options

Direct

Underlying security

Class B Units

Underlying shares

50K

Shares owned

50K

Exercise price

7.04

Expiration

—

Exercise window

—

Class B Options

Direct

Underlying security

Class B Units

Underlying shares

200K

Shares owned

200K

Exercise price

13.89

Expiration

—

Exercise window

—

Phantom Class B Units

Direct

Underlying security

Class B Units

Underlying shares

11.77K

Shares owned

11.77K

Exercise price

Expiration

—

Exercise window

—

Delayed Exchange Class B Unit Options

Direct

Underlying security

Class B Units

Underlying shares

78.74K

Shares owned

78.74K

Exercise price

5.97

Expiration

—

Exercise window

—

Delayed Exchange Class B Unit Options

Direct

Underlying security

Class B Units

Underlying shares

300K

Shares owned

300K

Exercise price

7.11

Expiration

—

Exercise window

—

Phantom Class B Units

Direct

Underlying security

Class B Units

Underlying shares

51.95K

Shares owned

51.95K

Exercise price

Expiration

—

Exercise window

—

Class B-1 Units

Indirect

Underlying security

None

Underlying shares

1.43M

Shares owned

1.43M

Exercise price

Expiration

—

Exercise window

—

Class B Units

Indirect

Underlying security

None

Underlying shares

940.13K

Shares owned

940.13K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

3.07M

Owned

3.07M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Delayed Exchange Class B Unit Options Direct	Class B Units	7.04	—	—	50K	50K
Class B Options Direct	Class B Units	13.89	—	—	200K	200K
Phantom Class B Units Direct	Class B Units		—	—	11.77K	11.77K
Delayed Exchange Class B Unit Options Direct	Class B Units	5.97	—	—	78.74K	78.74K
Delayed Exchange Class B Unit Options Direct	Class B Units	7.11	—	—	300K	300K
Phantom Class B Units Direct	Class B Units		—	—	51.95K	51.95K
Class B-1 Units Indirect	None		—	—	1.43M	1.43M
Class B Units Indirect	None		—	—	940.13K	940.13K
Total					3.07M	3.07M

CAI CHENYU CAROLINE — Insider Transaction (Form 4) Filed Nov 2, 2022 | Finecho