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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (right to buy) | $ 1.82 | 07/01/2015 | M(1) | 5,000 | (4) | 06/08/2020 | Common Stock | 5,000 | $ 0 | 36,056 | D | ||||
Employee Stock Option (right to buy) | $ 3.08 | 07/02/2015 | M(1) | 4,583 | (5) | 02/27/2022 | Common Stock | 4,583 | $ 0 | 281,958 | D | ||||
Employee Stock Option (right to buy) | $ 1.82 | 07/02/2015 | M(1) | 417 | (4) | 06/08/2020 | Common Stock | 417 | $ 0 | 35,639 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Paucek Christopher J C/O 2U, INC. 8201 CORPORATE DRIVE, SUITE 900 LANDOVER, MD 20785 |
X | Chief Executive Officer |
Matthew J. Norden, attorney-in-fact | 04/22/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The transactions reported in this amended Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 11, 2014, and amended on March 3, 2015. |
(4) | The shares underlying this option are fully vested. |
(5) | 25% of the shares underlying this option at the date of grant vested on January 1, 2013 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the reporting person's continued service with the issuer as of the applicable vesting date. |
Remarks: The option exercise-related transactions reported on the first and third rows of Table I and the first and second rows of Table II in the original Form 4 are hereby amended and restated by this Form 4/A. Row three of Table I in the original Form 4 is hereby replaced by rows two and three of Table I in this Form 4/A, and row two of Table II in the original Form 4 is hereby replaced by rows two and three of Table II in this Form 4/A. The original Form 4 misidentified the tranche of options exercised. |