Pzena Richard Stanton's Form 4 filing
Pzena Investment Management, Inc. (PZN) · filed Mar 31, 2022
- Accession no.
- 0001567619-22-007770
- Filed
- Mar 31, 2022
- Trade date
- Mar 29, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market purchases total $4.25M. Open-market sales total $4.25M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Pzena Richard StantonCIK 0001408706 | Director, Officer (Chairman, CEO and Co-CIO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 29, 2022 | Class B common stock, par value $0.000001 | SSaleDisposed | −779,586 | $5.45 | −$4,248,743.7 | 17,547,719 | Indirect | |
| Mar 29, 2022 | Class B common stock, par value $0.000001 | PPurchaseAcquired | +779,586 | $5.45 | +$4,248,743.7 | 7,193,186 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 29, 2022 | Class A common stock, par value $0.01 | SSaleDisposed | −779,586 | $5.45 | −$4,248,743.7 | 17,547,719 | Indirect | |
| Mar 29, 2022 | Class A common stock, par value $0.01 | PPurchaseAcquired | +779,586 | $5.45 | +$4,248,743.7 | 7,193,186 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.