CAI CHENYU CAROLINE

PrivateCIK: 1768116

Location

NEW YORK, NY

CAI CHENYU CAROLINE enters PZENA INVESTMENT MANAGEMENT, INC. with 930.63K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Indirect Derivatives

CAI CHENYU CAROLINE

Filed: 2/15/2019ACC: 0001567619-19-004640

InsiderCAI CHENYU CAROLINECIK 1768116

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

Officer· Executive Vice President

Since Feb 2019

930.63K

Baseline shares

23% direct

216.31K

Direct ownership

1 position

1.83M

Derivative underlying

10 instruments

2

Security positions

714.33K indirect

Non-Derivative Holdings2

Class A Common stock, par value $0.01

Direct

Shares owned216.31K

Class B common stock, par value $0.000001

Indirect

Shares owned714.33K

Total

216.31K direct·714.33K indirect930.63K

Security Title	Shares Owned	Ownership Type
Class A Common stock, par value $0.01	216.31K	Direct
Class B common stock, par value $0.000001	714.33K	Indirect
Total	930.63K	216.31K direct·714.33K indirect

Derivative Holdings10

Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

5.62K

Shares owned

N/A

Exercise price

7.58

Expiration

—

Exercise window

—

Class A common stock Option

Direct

Underlying security

Class A common stock, par value $0.01

Underlying shares

235K

Shares owned

N/A

Exercise price

8.00

Expiration

—

Exercise window

—

Delayed Exchange Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

300K

Shares owned

N/A

Exercise price

7.11

Expiration

—

Exercise window

—

Phantom Class B Units

Direct

Underlying security

Class B Units

Underlying shares

207.79K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Class B Units

Indirect

Underlying security

Class A common stock, par value $0.01

Underlying shares

714.33K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

11.12K

Shares owned

N/A

Exercise price

4.77

Expiration

—

Exercise window

—

Phantom Class B Units

Direct

Underlying security

Class B Units

Underlying shares

29.41K

Shares owned

N/A

Exercise price

Expiration

—

Exercise window

—

Delayed Exchange Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

50K

Shares owned

N/A

Exercise price

7.04

Expiration

—

Exercise window

—

Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

200K

Shares owned

N/A

Exercise price

13.89

Expiration

—

Exercise window

—

Delayed Exchange Class B Unit Option

Direct

Underlying security

Class B Units

Underlying shares

78.74K

Shares owned

N/A

Exercise price

5.97

Expiration

—

Exercise window

—

Total

Underlying

1.83M

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Unit Option Direct	Class B Units	7.58	—	—	5.62K	N/A
Class A common stock Option Direct	Class A common stock, par value $0.01	8.00	—	—	235K	N/A
Delayed Exchange Class B Unit Option Direct	Class B Units	7.11	—	—	300K	N/A
Phantom Class B Units Direct	Class B Units		—	—	207.79K	N/A
Class B Units Indirect	Class A common stock, par value $0.01		—	—	714.33K	N/A
Class B Unit Option Direct	Class B Units	4.77	—	—	11.12K	N/A
Phantom Class B Units Direct	Class B Units		—	—	29.41K	N/A
Delayed Exchange Class B Unit Option Direct	Class B Units	7.04	—	—	50K	N/A
Class B Unit Option Direct	Class B Units	13.89	—	—	200K	N/A
Delayed Exchange Class B Unit Option Direct	Class B Units	5.97	—	—	78.74K	N/A
Total					1.83M	0.00

CAI CHENYU CAROLINE — Initial Ownership Disclosure (Form 3) Filed Feb 15, 2019 | Finecho