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: 1/4/2022ACC: 0001567619-22-000272

InsiderGOETZ JOHN PAULCIK 1410088

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

DirectorOfficer· President & Co-CIO

Since Dec 2018

+49.57K

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

7

Total transactions

499.15K acquired · 449.57K 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%

6/3/2021

5.16M→4.96M

Class B common stock, par value $0.000001

Indirect

M · Option Exercise

Shares

+49.57K

Price / share

—

Trade value

—

% of position

1.0%

12/31/2021

4.96M→5.01M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+200K

Price / share

—

Trade value

—

% of position

4.0%

1/1/2022

5.01M→5.21M

Total

Net shares

+49.57K

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	6/3/2021	G · Gift	−200K	—	—	3.9%	5.16M	4.96M
Class B common stock, par value $0.000001 Indirect	12/31/2021	M · Option Exercise	+49.57K	—	—	1.0%	4.96M	5.01M
Class B common stock, par value $0.000001 Indirect	1/1/2022	A · Award	+200K	—	—	4.0%	5.01M	5.21M
Total			+49.57K		$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

4.96M

Exercisable

—

6/3/2021

Delayed Exchange Class B Units

Indirect

M · Option Exercise

Converts to

Class A common stock, par value $0.01

49.57K shares

Shares

+49.57K

Strike price

Held after

5.01M

Exercisable

—

12/31/2021

Phantom Class B Units

Indirect

M · Option Exercise

Converts to

Class B Units

49.57K shares

Shares

−49.57K

Strike price

Held after

19.39K

Exercisable

—

12/31/2021

Delayed Exchange Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

200K shares

Shares

+200K

Strike price

Held after

5.21M

Exercisable

—

1/1/2022

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Class B Units Indirect	Class A common stock, par value $0.01200K shares	6/3/2021	G · Gift	−200K		—	4.96M
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.0149.57K shares	12/31/2021	M · Option Exercise	+49.57K		—	5.01M
Phantom Class B Units Indirect	Class B Units49.57K shares	12/31/2021	M · Option Exercise	−49.57K		—	19.39K
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.01200K shares	1/1/2022	A · Award	+200K		—	5.21M

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 4, 2022 | Finecho