GOETZ JOHN PAUL

PrivateCIK: 1410088

Location

NEW YORK, NY

GOETZ JOHN PAUL (President & Co-CIO) received a stock award from PZENA INVESTMENT MANAGEMENT, INC.

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 2 awards

GOETZ JOHN PAUL

Filed: 1/3/2019ACC: 0001567619-19-000386

InsiderGOETZ JOHN PAULCIK 1410088

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

DirectorOfficer· President & Co-CIO

Since Dec 2018

+79.17K

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

8

Total transactions

330.53K acquired · 251.36K disposed

Non-Derivative Transactions3

Class B common stock, par value $0.000001

Indirect

G · Gift

Shares

−100K

Price / share

—

Trade value

—

% of position

2.1%

12/19/2018

4.81M→4.71M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+51.36K

Price / share

—

Trade value

—

% of position

1.1%

12/31/2018

4.71M→4.76M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+83.75K

Price / share

—

Trade value

—

% of position

1.8%

1/1/2019

4.76M→4.85M

Total

Net shares

+35.12K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class B common stock, par value $0.000001 Indirect	12/19/2018	G · Gift	−100K	—	—	2.1%	4.81M	4.71M
Class B common stock, par value $0.000001 Indirect	12/31/2018	A · Award	+51.36K	—	—	1.1%	4.71M	4.76M
Class B common stock, par value $0.000001 Indirect	1/1/2019	A · Award	+83.75K	—	—	1.8%	4.76M	4.85M
Total			+35.12K		$0.00

Derivative Transactions5

Class B Units

Indirect

G · Gift

Converts to

Class A common stock, par value $0.01

100K shares

Shares

−100K

Strike price

Held after

4.71M

Exercisable

—

12/19/2018

Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

51.36K shares

Shares

+51.36K

Strike price

Held after

4.76M

Exercisable

—

12/31/2018

Phantom Class B Units

Direct

D · Disposition

Converts to

Class B Units

51.36K shares

Shares

−51.36K

Strike price

Held after

132.91K

Exercisable

—

12/31/2018

Phantom Class B Units

Direct

A · Award

Converts to

Class B Units

60.30K shares

Shares

+60.30K

Strike price

Held after

193.22K

Exercisable

—

12/31/2018

Delayed Exchange Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

83.75K shares

Shares

+83.75K

Strike price

Held after

4.85M

Exercisable

—

1/1/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Class B Units Indirect	Class A common stock, par value $0.01100K shares	12/19/2018	G · Gift	−100K		—	4.71M
Class B Units Indirect	Class A common stock, par value $0.0151.36K shares	12/31/2018	A · Award	+51.36K		—	4.76M
Phantom Class B Units Direct	Class B Units51.36K shares	12/31/2018	D · Disposition	−51.36K		—	132.91K
Phantom Class B Units Direct	Class B Units60.30K shares	12/31/2018	A · Award	+60.30K		—	193.22K
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.0183.75K shares	1/1/2019	A · Award	+83.75K		—	4.85M

Non-Derivative Holdings (Post-Transaction)1

Class B common stock, par value $0.000001

Indirect

Shares owned708.97K

Total

708.97K indirect708.97K

Security Title	Shares Owned	Ownership Type
Class B common stock, par value $0.000001	708.97K	Indirect
Total	708.97K	708.97K indirect

Derivative Holdings (Post-Transaction)1

Class B Units

Indirect

Underlying security

Class A common stock, par value $0.01

Underlying shares

708.97K

Shares owned

708.97K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

708.97K

Owned

708.97K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Units Indirect	Class A common stock, par value $0.01		—	—	708.97K	708.97K
Total					708.97K	708.97K

GOETZ JOHN PAUL — Insider Transaction (Form 4) Filed Jan 3, 2019 | Finecho