PZENA RICHARD STANTON

PrivateCIK: 1408706

Location

NEW YORK, NY

PZENA RICHARD STANTON (Chairman, CEO and 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

PZENA RICHARD STANTON

Filed: 1/4/2022ACC: 0001567619-22-000274

InsiderPZENA RICHARD STANTONCIK 1408706

→

IssuerPZENA INVESTMENT MANAGEMENT, INC.CIK 1399249

DirectorOfficer· Chairman, CEO and Co-CIO

Since Jan 2019

-272.19K

Net shares

Net seller

$0.00

Total acquired

0

Open market trades

0B · 0S

6

Total transactions

837.81K acquired · 1.11M disposed

Non-Derivative Transactions3

Class B common stock, par value $0.000001

Indirect

G · Gift

Shares

−400K

Price / share

—

Trade value

—

% of position

2.2%

6/3/2021

18.46M→18.06M

Class B common stock, par value $0.000001

Indirect

G · Gift

Shares

−155K

Price / share

—

Trade value

—

% of position

0.9%

9/17/2021

18.06M→17.91M

Class B common stock, par value $0.000001

Indirect

A · Award

Shares

+418.91K

Price / share

—

Trade value

—

% of position

2.3%

1/1/2022

17.91M→18.33M

Total

Net shares

−136.09K

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	−400K	—	—	2.2%	18.46M	18.06M
Class B common stock, par value $0.000001 Indirect	9/17/2021	G · Gift	−155K	—	—	0.9%	18.06M	17.91M
Class B common stock, par value $0.000001 Indirect	1/1/2022	A · Award	+418.91K	—	—	2.3%	17.91M	18.33M
Total			−136.09K		$0.00

Derivative Transactions3

Class B Units

Indirect

G · Gift

Converts to

Class A common stock, par value $0.01

400K shares

Shares

−400K

Strike price

Held after

18.06M

Exercisable

—

6/3/2021

Delayed Exchange Class B Units

Indirect

G · Gift

Converts to

Class A common stock, par value $0.01

155K shares

Shares

−155K

Strike price

Held after

17.91M

Exercisable

—

9/17/2021

Delayed Exchange Class B Units

Indirect

A · Award

Converts to

Class A common stock, par value $0.01

418.91K shares

Shares

+418.91K

Strike price

Held after

18.33M

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 $0.01400K shares	6/3/2021	G · Gift	−400K		—	18.06M
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.01155K shares	9/17/2021	G · Gift	−155K		—	17.91M
Delayed Exchange Class B Units Indirect	Class A common stock, par value $0.01418.91K shares	1/1/2022	A · Award	+418.91K		—	18.33M

Non-Derivative Holdings (Post-Transaction)2

Class B common stock, par value $0.000001

Indirect

Shares owned42.40K

Class B common stock, par value $0.000001

Indirect

Shares owned6.41M

Total

6.46M indirect6.46M

Security Title	Shares Owned	Ownership Type
Class B common stock, par value $0.000001	42.40K	Indirect
Class B common stock, par value $0.000001	6.41M	Indirect
Total	6.46M	6.46M indirect

Derivative Holdings (Post-Transaction)2

Class B Units

Indirect

Underlying security

Class A common stock, par value $0.01

Underlying shares

6.41M

Shares owned

6.41M

Exercise price

Expiration

—

Exercise window

—

Class B Units

Indirect

Underlying security

Class A common stock, par value $0.01

Underlying shares

42.40K

Shares owned

42.40K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

6.46M

Owned

6.46M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Class B Units Indirect	Class A common stock, par value $0.01		—	—	6.41M	6.41M
Class B Units Indirect	Class A common stock, par value $0.01		—	—	42.40K	42.40K
Total					6.46M	6.46M

PZENA RICHARD STANTON — Insider Transaction (Form 4) Filed Jan 4, 2022 | Finecho