Form 4 for ZETA Zeta Global Holdings Corp.
Accepted 2023-03-16 00:00:00 ET · period of report 2023-03-14 · accession 0000899243-23-008746 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-03-16 | 2023-03-14 | ZETA | ACI Investment Partners, LLC | 10% | F - Tax | $10.33 | -2,952 | 182.0K | -2% | -$30.5K |
| DI | 2023-03-16 | 2023-03-16 | ZETA | ACI Investment Partners, LLC | 10% | G - Gift | $0.00 | -7,556 | 954.9K | -0.8% | $0 |
| DMI | 2023-03-16 | 2023-03-14 | ZETA | ACI Investment Partners, LLC | 10% | F - Tax | $10.33 | -325.9K | 72.8K | -82% | -$3.37M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2023-03-14 | F | D | 2,952 | $10.33 | 181,980 | I By Spouse | — | — | (F1) Surrender of shares in payment of withholding taxes due upon the vesting of restricted stock awards under the Registrant's Incentive Award Plan. |
| 2 | Common | Class A Common Stock | 2023-03-16 | G | D | 7,556 | $0.00 | 954,944 | I By ACI Investment Partners, LLC | — | — | (F2) Reflects the conversion on March 16, 2023 of 50,000 shares of Class B Common Stock into Class A Common Stock. (F3) Securities held directly by ACI Investment Partners, LLC ("ACI"). Mr. Steinberg is the managing member of ACI. Mr. Steinberg disclaims beneficial ownership of the shares held directly by ACI except to the extent of his pecuniary interest therein, if any. |
| 3 | Derivative | Class B Common Stock | 2023-03-14 | F | D | 274,845 | $10.33 | 25,964,110 | I By ACI Investment Partners, LLC | — · — to — | 274,845 Class A Common Stock | (F1) Surrender of shares in payment of withholding taxes due upon the vesting of restricted stock awards under the Registrant's Incentive Award Plan. (F2) Reflects the conversion on March 16, 2023 of 50,000 shares of Class B Common Stock into Class A Common Stock. (F3) Securities held directly by ACI Investment Partners, LLC ("ACI"). Mr. Steinberg is the managing member of ACI. Mr. Steinberg disclaims beneficial ownership of the shares held directly by ACI except to the extent of his pecuniary interest therein, if any. (F5) The Class B common stock is convertible at any time at the option of the holder into Class A common stock on a one-to-one basis, and will convert automatically into Class A common stock on a one-to-one basis upon the earliest to occur of: (1) the first date on which the voting power of all then-outstanding shares of Class B Common Stock representing less than 10% of the combined voting power of all then-outstanding shares of Common Stock and (2) the date of the death or Disability (as defined in the Issuer's amended and restated certificate of incorporation) of Mr. Steinberg, and (b) upon the date specified by the holders of at least a majority of the then outstanding shares of Class B common stock, voting as a separate class. |
| 4 | Derivative | Class B Common Stock | 2023-03-14 | F | D | 3,773 | $10.33 | 392,797 | I By Family Trust | — · — to — | 3,773 Class A Common Stock | (F1) Surrender of shares in payment of withholding taxes due upon the vesting of restricted stock awards under the Registrant's Incentive Award Plan. (F6) Mr. Steinberg is co-trustee of each family trust and as a result may be deemed to share beneficial ownership of the securities held of record by each trust to the extent of his pecuniary interest therein, if any. (F5) The Class B common stock is convertible at any time at the option of the holder into Class A common stock on a one-to-one basis, and will convert automatically into Class A common stock on a one-to-one basis upon the earliest to occur of: (1) the first date on which the voting power of all then-outstanding shares of Class B Common Stock representing less than 10% of the combined voting power of all then-outstanding shares of Common Stock and (2) the date of the death or Disability (as defined in the Issuer's amended and restated certificate of incorporation) of Mr. Steinberg, and (b) upon the date specified by the holders of at least a majority of the then outstanding shares of Class B common stock, voting as a separate class. |
| 5 | Derivative | Class B Common Stock | 2023-03-14 | F | D | 85 | $10.33 | 5,083,754 | I By IAC Investment Company IX, LLC | — · — to — | 85 Class A Common Stock | (F1) Surrender of shares in payment of withholding taxes due upon the vesting of restricted stock awards under the Registrant's Incentive Award Plan. (F4) Securities held directly by IAC Investment Company IX, LLC ("IAC"). Mr. Steinberg is the managing member of IAC. Mr. Steinberg disclaims beneficial ownership of the shares held directly by IAC except to the extent of his pecuniary interest therein, if any. (F5) The Class B common stock is convertible at any time at the option of the holder into Class A common stock on a one-to-one basis, and will convert automatically into Class A common stock on a one-to-one basis upon the earliest to occur of: (1) the first date on which the voting power of all then-outstanding shares of Class B Common Stock representing less than 10% of the combined voting power of all then-outstanding shares of Common Stock and (2) the date of the death or Disability (as defined in the Issuer's amended and restated certificate of incorporation) of Mr. Steinberg, and (b) upon the date specified by the holders of at least a majority of the then outstanding shares of Class B common stock, voting as a separate class. |
| 6 | Derivative | Class B Common Stock | 2023-03-14 | F | D | 47,220 | $10.33 | 72,780 | I By Spouse | — · — to — | 47,220 Class A Common Stock | (F1) Surrender of shares in payment of withholding taxes due upon the vesting of restricted stock awards under the Registrant's Incentive Award Plan. (F5) The Class B common stock is convertible at any time at the option of the holder into Class A common stock on a one-to-one basis, and will convert automatically into Class A common stock on a one-to-one basis upon the earliest to occur of: (1) the first date on which the voting power of all then-outstanding shares of Class B Common Stock representing less than 10% of the combined voting power of all then-outstanding shares of Common Stock and (2) the date of the death or Disability (as defined in the Issuer's amended and restated certificate of incorporation) of Mr. Steinberg, and (b) upon the date specified by the holders of at least a majority of the then outstanding shares of Class B common stock, voting as a separate class. |