LIPSEY WILLIAM LOUIS

PrivateCIK: 1409995

Location

NEW YORK, NY

LIPSEY WILLIAM LOUIS (Pres, Marketing/Client Srvc) 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

LIPSEY WILLIAM LOUIS

Filed: 1/3/2019ACC: 0001567619-19-000388

InsiderLIPSEY WILLIAM LOUISCIK 1409995

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IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

DirectorOfficer· Pres, Marketing/Client Srvc

Since Dec 2018

+103.40K

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

8

Total transactions

303.28K acquired · 199.88K disposed

Non-Derivative Transactions3

Class B common stock, par value $0.000001

Indirect

G · Gift

Shares

−75K

Price / share

—

Trade value

—

% of position

1.8%

12/19/2018

4.13M→4.05M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+49.88K

Price / share

—

Trade value

—

% of position

1.2%

12/31/2018

4.05M→4.10M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+62.99K

Price / share

—

Trade value

—

% of position

1.5%

1/1/2019

4.10M→4.17M

Total

Net shares

+37.87K

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	−75K	—	—	1.8%	4.13M	4.05M
Class B common stock, par value $0.000001 Indirect	12/31/2018	A · Award	+49.88K	—	—	1.2%	4.05M	4.10M
Class B common stock, par value $0.000001 Indirect	1/1/2019	A · Award	+62.99K	—	—	1.5%	4.10M	4.17M
Total			+37.87K		$0.00

Derivative Transactions5

Class B Units

Indirect

G · Gift

Converts to

Class A common stock, par value $0.01

75K shares

Shares

−75K

Strike price

Held after

4.05M

Exercisable

—

12/19/2018

Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

49.88K shares

Shares

+49.88K

Strike price

Held after

4.10M

Exercisable

—

12/31/2018

Phantom Class B common stock

Direct

D · Disposition

Converts to

Class B Units

49.88K shares

Shares

−49.88K

Strike price

Held after

68.98K

Exercisable

—

12/31/2018

Phantom Class B common stock

Direct

A · Award

Converts to

Class B Units

77.54K shares

Shares

+77.54K

Strike price

Held after

146.53K

Exercisable

—

12/31/2018

Delayed Exchange Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

62.99K shares

Shares

+62.99K

Strike price

Held after

4.17M

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 $0.0175K shares	12/19/2018	G · Gift	−75K		—	4.05M
Class B Units Indirect	Class A common stock, par value $0.0149.88K shares	12/31/2018	A · Award	+49.88K		—	4.10M
Phantom Class B common stock Direct	Class B Units49.88K shares	12/31/2018	D · Disposition	−49.88K		—	68.98K
Phantom Class B common stock Direct	Class B Units77.54K shares	12/31/2018	A · Award	+77.54K		—	146.53K
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.0162.99K shares	1/1/2019	A · Award	+62.99K		—	4.17M

Non-Derivative Holdings (Post-Transaction)1

Class B common stock, par value $0.000001

Indirect

Shares owned1.27M

Total

1.27M indirect1.27M

Security Title	Shares Owned	Ownership Type
Class B common stock, par value $0.000001	1.27M	Indirect
Total	1.27M	1.27M indirect

Derivative Holdings (Post-Transaction)1

Class B Units

Indirect

Underlying security

Class A common stock, par value $0.01

Underlying shares

1.27M

Shares owned

1.27M

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

1.27M

Owned

1.27M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Units Indirect	Class A common stock, par value $0.01		—	—	1.27M	1.27M
Total					1.27M	1.27M

LIPSEY WILLIAM LOUIS — Insider Transaction (Form 4) Filed Jan 3, 2019 | Finecho