4//SEC Filing
Martin Gregory S 4
Accession 0001140361-10-001232
CIK 0001399249other
Filed
Jan 6, 7:00 PM ET
Accepted
Jan 7, 5:21 PM ET
Size
7.7 KB
Accession
0001140361-10-001232
Insider Transaction Report
Form 4
Martin Gregory S
Chief Financial Officer
Transactions
- Award
Right to acquire Class B Units
2009-12-21+30,000→ 30,000 totalExercise: $8.00Exp: 2019-12-21→ Class B Units (30,000 underlying)
Holdings
- 10,000
Right to acquire Class B Units
Exercise: $4.22From: 2008-12-31Exp: 2018-12-31→ Class B Units (10,000 underlying)
Footnotes (1)
- [F1]On December 21, 2009, the Issuer granted the Reporting Person the right to acquire 30,000 Class B Units (the "2009 Options") of Pzena Investment Management, LLC, its operating company, for $8.00 per Unit until December 21, 2019, subject to earlier expiration upon the occurrence of certain events. One-third of the 2009 Options vest immediately, one-third vest on the first anniversary of the date of grant, and one-third vest on the second anniversary of the date of grant. Pursuant to the Issuer's Amended and Restated Certificate of Incorporation, each time a Class B Unit is issued, one share of the Issuer's Class B common stock will be issued concurrently to the holder of such Class B Unit in exchange for the par value thereof.
Documents
Issuer
Pzena Investment Management, Inc.
CIK 0001399249
Entity typeother
Related Parties
1- filerCIK 0001462799
Filing Metadata
- Form type
- 4
- Filed
- Jan 6, 7:00 PM ET
- Accepted
- Jan 7, 5:21 PM ET
- Size
- 7.7 KB