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 · 1 award

GOETZ JOHN PAUL

Filed: 1/5/2021ACC: 0001567619-21-000410

InsiderGOETZ JOHN PAULCIK 1410088

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

DirectorOfficer· President & Co-CIO

Since Dec 2018

-29.25K

Net shares

Net seller

$0.00

Total acquired

0

Open market trades

0B · 0S

7

Total transactions

441.50K acquired · 470.75K disposed

Non-Derivative Transactions3

Class B common stock, par value $0.000001

Indirect

G · Gift

Shares

−200K

Price / share

—

Trade value

—

% of position

3.9%

12/17/2020

5.14M→4.94M

Class B common stock, par value $0.000001

Indirect

M · Option Exercise

Shares

+70.75K

Price / share

—

Trade value

—

% of position

1.4%

12/31/2020

4.94M→5.01M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+150K

Price / share

—

Trade value

—

% of position

3.0%

1/1/2021

5.01M→5.16M

Total

Net shares

+20.75K

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	12/17/2020	G · Gift	−200K	—	—	3.9%	5.14M	4.94M
Class B common stock, par value $0.000001 Indirect	12/31/2020	M · Option Exercise	+70.75K	—	—	1.4%	4.94M	5.01M
Class B common stock, par value $0.000001 Indirect	1/1/2021	A · Award	+150K	—	—	3.0%	5.01M	5.16M
Total			+20.75K		$0.00

Derivative Transactions4

Class B Units

Indirect

G · Gift

Converts to

Class A common stock, par value $0.01

200K shares

Shares

−200K

Strike price

Held after

4.94M

Exercisable

—

12/17/2020

Class B Units

Indirect

M · Option Exercise

Converts to

Class A common stock, par value $0.01

70.75K shares

Shares

+70.75K

Strike price

Held after

5.01M

Exercisable

—

12/31/2020

Phantom Class B Units

Direct

M · Option Exercise

Converts to

Class B Units

70.75K shares

Shares

−70.75K

Strike price

Held after

68.96K

Exercisable

—

12/31/2020

Delayed Exchange Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

150K shares

Shares

+150K

Strike price

Held after

5.16M

Exercisable

—

1/1/2021

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Class B Units Indirect	Class A common stock, par value $0.01200K shares	12/17/2020	G · Gift	−200K		—	4.94M
Class B Units Indirect	Class A common stock, par value $0.0170.75K shares	12/31/2020	M · Option Exercise	+70.75K		—	5.01M
Phantom Class B Units Direct	Class B Units70.75K shares	12/31/2020	M · Option Exercise	−70.75K		—	68.96K
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.01150K shares	1/1/2021	A · Award	+150K		—	5.16M

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 5, 2021 | Finecho