Insider · CIK 0001768116

Cai Chenyu Caroline

Reports to the SEC for 1 company · NEW YORK, NY

sec.gov

Transactions

Companies

Filings

CIK

0001768116

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2022-10-31	Pzena Investment Management, Inc.U Disposition from Tender	Director, Executive Vice President	UDisposition from Tender	−179K sh	$9.60	−$1.71M	0
2022-10-31	Pzena Investment Management, Inc.U Disposition from Tender	Director, Executive Vice President	UDisposition from Tender	−940K sh	—	—	0
2022-01-11	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−328 sh	$9.75	−$3,198	178,598
2022-01-10	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−5,715 sh	$9.85	−$56.3K	178,926
2022-01-04	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−500 sh	$9.76	−$4,880.05	184,641
2022-01-01	Pzena Investment Management, Inc.A Award	Director, Executive Vice President	AAward	+48.7K sh	—	—	940,133
2022-01-01	Pzena Investment Management, Inc.Delayed Exchange Class B UnitsA Award	Director, Executive Vice President	AAward	+48.7K sh	—	—	940,133
2022-01-01	Pzena Investment Management, Inc.Class B-1 UnitsA Award	Director, Executive Vice President	AAward	+661K sh	—	—	1,434,791
2021-12-30	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−2,900 sh	$9.79	−$28.4K	185,141
2021-12-29	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−1,200 sh	$9.75	−$11.7K	188,041
2021-12-28	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	+1,555 sh	$9.78	+$15.2K	189,241
2021-12-27	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−2,802 sh	$9.77	−$27.4K	190,796
2021-12-23	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−6,296 sh	$9.57	−$60.3K	193,598
2021-12-22	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−2,391 sh	$9.59	−$22.9K	199,894
2021-12-21	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−15K sh	$9.34	−$140K	213,598
2021-12-21	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−10K sh	$9.39	−$93.9K	203,598
2021-12-21	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−1,313 sh	$9.52	−$12.5K	202,285
2021-12-20	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+51.9K sh	—	—	891,432
2021-12-20	Pzena Investment Management, Inc.Phantom Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−51.9K sh	—	—	51,949
2021-12-20	Pzena Investment Management, Inc.Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+51.9K sh	—	—	891,432
2021-12-19	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,882 sh	—	—	839,484
2021-12-19	Pzena Investment Management, Inc.Phantom Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−5,882 sh	—	—	11,767
2021-12-19	Pzena Investment Management, Inc.Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,882 sh	—	—	839,484
2021-11-12	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,615 sh	—	—	837,531
2021-11-12	Pzena Investment Management, Inc.F Tax Payment	Director, Executive Vice President	FTax Payment	−3,929 sh	$11.34	−$44.6K	833,602
2021-11-12	Pzena Investment Management, Inc.Class B Unit OptionM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−5,615 sh	—	—	0
2021-11-12	Pzena Investment Management, Inc.Class B UnitM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,615 sh	—	—	837,531
2021-11-12	Pzena Investment Management, Inc.Class B UnitF Tax Payment	Director, Executive Vice President	FTax Payment	−3,929 sh	$11.34	−$44.6K	833,602
2021-06-03	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,500 sh	—	—	845,696
2021-06-03	Pzena Investment Management, Inc.F Tax Payment	Director, Executive Vice President	FTax Payment	−3,780 sh	$12.03	−$45.5K	841,916
2021-06-03	Pzena Investment Management, Inc.G Gift	Director, Executive Vice President	GGift	−10K sh	—	—	831,916
2021-06-03	Pzena Investment Management, Inc.Class B Unit OptionM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−5,500 sh	—	—	5,615
2021-06-03	Pzena Investment Management, Inc.Class B UnitM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,500 sh	—	—	845,696
2021-06-03	Pzena Investment Management, Inc.Class B UnitF Tax Payment	Director, Executive Vice President	FTax Payment	−3,780 sh	$12.03	−$45.5K	841,916
2021-06-03	Pzena Investment Management, Inc.Class B UnitG Gift	Director, Executive Vice President	GGift	−10K sh	—	—	831,916
2021-01-01	Pzena Investment Management, Inc.A Award	Director, Executive Vice President	AAward	+21.4K sh	—	—	840,196
2021-01-01	Pzena Investment Management, Inc.Delayed Exchange Class B UnitsA Award	Director, Executive Vice President	AAward	+21.4K sh	—	—	840,196
2020-12-20	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+51.9K sh	—	—	818,783
2020-12-20	Pzena Investment Management, Inc.Phantom Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−51.9K sh	—	—	103,897
2020-12-20	Pzena Investment Management, Inc.Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+51.9K sh	—	—	818,783
2020-12-19	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,882 sh	—	—	766,835
2020-12-19	Pzena Investment Management, Inc.Phantom Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−5,882 sh	—	—	17,649
2020-12-19	Pzena Investment Management, Inc.Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,882 sh	—	—	766,835
2020-12-18	Pzena Investment Management, Inc.S Sale	Director, Executive Vice President	SSale	−401 sh	$7.90	−$3,168.381	228,598
2020-12-16	Pzena Investment Management, Inc.M Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,617 sh	—	—	766,481
2020-12-16	Pzena Investment Management, Inc.F Tax Payment	Director, Executive Vice President	FTax Payment	−5,528 sh	$7.82	−$43.2K	760,953
2020-12-16	Pzena Investment Management, Inc.Class B UnitsM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	+5,617 sh	—	—	766,481
2020-12-16	Pzena Investment Management, Inc.Class B UnitsF Tax Payment	Director, Executive Vice President	FTax Payment	−5,528 sh	$7.82	−$43.2K	760,953
2020-12-16	Pzena Investment Management, Inc.Class B Unit OptionM Exercise/Conversion	Director, Executive Vice President	MExercise/Conversion	−5,617 sh	—	—	0
2020-01-01	Pzena Investment Management, Inc.A Award	Director, Executive Vice President	AAward	+16.8K sh	—	—	760,864

Recent filings

Accepted (ET)
Nov 24
Cai Chenyu Caroline0000929638-22-001641
SEC(opens sec.gov)
Jan 114
Cai Chenyu Caroline0001567619-22-001018
SEC(opens sec.gov)
Jan 64
Cai Chenyu Caroline0001567619-22-000733
SEC(opens sec.gov)
Jan 44
Cai Chenyu Caroline0001567619-22-000266
SEC(opens sec.gov)
Jan 34
Cai Chenyu Caroline0001567619-22-000001
SEC(opens sec.gov)
Dec 284
Cai Chenyu Caroline0001567619-21-022574
SEC(opens sec.gov)
Dec 234
Cai Chenyu Caroline0001567619-21-022504
SEC(opens sec.gov)
Dec 214
Cai Chenyu Caroline0001567619-21-022398
SEC(opens sec.gov)

Companies

Pzena Investment Management, Inc.Director, Executive Vice President

Address

PZENA INVESTMENT MANAGEMENT, INC 320 PARK AVENUE, 8TH FLOOR

NEW YORK, NY, 10022