SEC Form 4/A · accession 0001104659-16-113572
2U, Inc. · TWOU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Christopher J Paucek
Officer — Chief Executive Officer · Director
Period of report
Jun 2, 2015
Accepted (ET)
Apr 22, 2016 · 6:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001459417
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 2, 2015 | M | 5,000 | $1.82 | A | 119,330 | D | |
| Common Stock | Jun 3, 2015 | M | 5,000 | $1.82 | A | 119,330 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F4 | $1.82 | Jun 2, 2015 | M | 5,000 | D | — | Jun 8, 2020 | Common Stock | 5,000 | 46,056 | D |
| Employee Stock Option (right to buy)F4 | $1.82 | Jun 3, 2015 | M | 5,000 | D | — | Jun 8, 2020 | Common Stock | 5,000 | 41,056 | D |
Explanation of responses
- F1The 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.
- F4The shares underlying this option are fully vested.
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. The original Form 4 misidentified the tranche of options exercised.