Statistik Asas
| LEI | 77FR8E97WY61TIP8ID10 |
| CIK | 1399249 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Pzena Investment Management Inc - Class A
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| February 13, 2023 |
SC 13G/A 1 fp0082241-18sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 13)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of |
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| November 10, 2022 |
15-12G 1 d311975d1512g.htm 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-33761 PZENA INVESTMENT MANAGEMENT, INC |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2022 Or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 |
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| October 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 S-8 POS 1 d407938ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. 333-147027 Registration No. 333-163370 Registration No. 333-221339 Registration No. 333-235756 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-147027 POST-EFFECTIVE AMENDMENT N |
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| October 31, 2022 |
Pzena Investment Management, Inc. Completes Transaction to Become Private Company Exhibit 99.1 Pzena Investment Management, Inc. Completes Transaction to Become Private Company NEW YORK, October 31, 2022 ? Pzena Investment Management, Inc. (NYSE: PZN) (?PZN?) today announced the completion of its previously announced take-private transaction. Effective today, PZN will operate as a privately-held company owned by the existing partners of Pzena Investment Management, LLC. PZN sto |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 S-8 POS 1 d407938ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. 333-147027 Registration No. 333-163370 Registration No. 333-221339 Registration No. 333-235756 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-147027 POST-EFFECTIVE AMENDMENT N |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 S-8 POS 1 d407938ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. 333-147027 Registration No. 333-163370 Registration No. 333-221339 Registration No. 333-235756 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-147027 POST-EFFECTIVE AMENDMENT N |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. |
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| October 31, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 14, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| October 31, 2022 |
SC 13E3/A 1 d407857dsc13e3a.htm SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES ACT OF 1934 AMENDMENT NO. 4 PZENA INVESTMENT MANAGEMENT, INC. (Name of the Issuer) Pzena Investment Management, LLC Panda Merger Sub, LLC Richard S. Pzena (Names of Persons Filing Statement) Class A C |
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| October 31, 2022 |
As filed with the Securities and Exchange Commission on October 31, 2022 As filed with the Securities and Exchange Commission on October 31, 2022 Registration No. |
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| October 28, 2022 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 27, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 28, 2022 |
Exhibit 99.1 Pzena Stockholders Approve Transaction for Pzena Investment Management, Inc. to Become Private Company NEW YORK, October 27, 2022 ? Pzena Investment Management, Inc. (NYSE: PZN) (?PZN?) today announced that, at the special meeting of stockholders held today, its stockholders approved the previously announced take-private transaction with Pzena Investment Management, LLC. Approximately |
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| October 28, 2022 |
PZN / Pzena Investment Management, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Pzena Investment Management, Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address an |
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| October 20, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 19, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 20, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2022 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2022 ? Pzena reports third quarter 2022 Diluted EPS of $0.15. ? Assets under management ends the third quarter at $42.0 billion. ? Q3 2022 revenue decreases 12 percent to $45.2 million from Q3 2021. NEW YORK, October 19, 2022 - Pzena Investment Management, Inc. (NYSE: PZN) reported the following U.S. Generally |
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| October 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under Rule 14a-12 PZENA INVESTMENT MANAGEMENT, INC. |
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| October 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under Rule 14a-12 PZENA INVESTMENT MANAGEMENT, INC. |
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| October 11, 2022 |
Pzena Investment Management Has Received all Regulatory Approvals Required to Complete Transaction Exhibit 99.1 Pzena Investment Management Has Received all Regulatory Approvals Required to Complete Transaction ? Special meeting of stockholders to vote on transaction to be held virtually on October 27, 2022, at 10:00 am ET New York, NY, October 10, 2022. Pzena Investment Management, Inc. (NYSE: PZN) (?PZN?) today announced that it has received all regulatory approvals required under the merger |
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| October 11, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 11, 2022 |
Exhibit 99.2 OCTOBER 2022 1 2 Business Overview ? Traditional long only asset management firm ? Managing separate accounts, third-party distributed mutual funds for which we as sub-investment adviser, and funds for which we act as investment adviser ? Headquarters in New York City, and offices in Melbourne, London, and Dublin ? Assets Under Management were $42.0 billion as of September 30, 2022 Pz |
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| October 11, 2022 |
DEFA14A 1 d405443ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or |
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| October 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 7, 2022 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES SEPTEMBER 30, 2022 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE THIRD QUARTER OF 2022 New York, NY, October 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of September 30, 2022 and preliminary flows for the third quarter of 2022. AUM for month-end September 2022, month-end August |
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| September 27, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| September 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES ACT OF 1934 AMENDMENT NO. 3 PZENA INVESTMENT MANAGEMENT, INC. (Name of the Issuer) Pzena Investment Management, Inc. Pzena Investment Management, LLC Panda Merger Sub, LLC Richard S. Pzena (Names of Persons Filing Statement) Class A Common St |
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| September 23, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| September 23, 2022 |
CORRESP 1 filename1.htm September 23, 2022 Via EDGAR Securities and Exchange Commission Division of Corporate Finance Office of Mergers & Acquisitions 100 F Street, N.E. Washington D.C. 20549 Attn: Christina Chalk, Senior Special Counsel Re: Pzena Investment Management, Inc. Schedule 13E-3/A filed September 21, 2022 Filed by PIM, LLC et al. SEC File No. 5-83243 PRER14A filed September 21, 2022 SEC |
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| September 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES ACT OF 1934 AMENDMENT NO. 2 PZENA INVESTMENT MANAGEMENT, INC. (Name of the Issuer) Pzena Investment Management, Inc. Pzena Investment Management, LLC Panda Merger Sub, LLC Richard S. Pzena (Names of Persons Filing Statement) Class A Common St |
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| September 21, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| September 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES ACT OF 1934 AMENDMENT NO. 1 PZENA INVESTMENT MANAGEMENT, INC. (Name of the Issuer) Pzena Investment Management, Inc. Pzena Investment Management, LLC Panda Merger Sub, LLC Richard S. Pzena (Names of Persons Filing Statement) Class A Common St |
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| September 21, 2022 |
CORRESP 1 filename1.htm September 21, 2022 Via EDGAR Securities and Exchange Commission Division of Corporate Finance Office of Mergers & Acquisitions 100 F Street, N.E. Washington D.C. 20549 Attn: Christina Chalk, Senior Special Counsel Re: Pzena Investment Management, Inc. Schedule 13E-3 filed August 22, 2022 Filed by PIM, LLC et al. SEC File No. 5-83243 PREM14A filed August 22, 2022 SEC File No |
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| September 8, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 08, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation |
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| September 8, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2022 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2022 ASSETS UNDER MANAGEMENT New York, NY, September 8, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of August 31, 2022. AUM for month-end August 2022, month-end July 2022, and month-end August 2021 are listed below: Pzena Investment Management, Inc. Assets Under Man |
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| September 1, 2022 |
Exhibit 7.2 September 1, 2022 Members of the Board of Directors Pzena Investment Management, Inc. 320 Park Avenue New York, New York 1002 Dear Members of the Board of Directors, Punch & Associates Investment Management, Inc. (collectively, ?we? or ?our?) has been a shareholder of Pzena Investment Management, Inc. (the ?Company? or ?Pzena?) continuously since 2009, and we currently own approximatel |
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| September 1, 2022 |
Exhibit 7.1 Exhibit 7.1 ? Joint Filing Agreement JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D) on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to Class A |
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| September 1, 2022 |
SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 74731Q103 (CUSIP Number) Pamela M. Krill Godfrey & Kahn, S.C. One East Main Street, Suite 500 Madison, Wisconsin |
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| August 22, 2022 |
PRELIMINARY BACKGROUND MATERIALS Honesty | Integrity | Performance Exhibit (c)(5) Project Panda Presentation to the Special Committee of the Board of Directors 6 July 2022 www. |
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| August 22, 2022 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13E-3 TRANSACTION STATEMENT UNDER SECTION 13(E) OF THE SECURITIES ACT OF 1934 PZENA INVESTMENT MANAGEMENT, INC. (Name of the Issuer) Pzena Investment Management, Inc. Pzena Investment Management, LLC Panda Merger Sub, LLC (Names of Persons Filing Statement) Class A Common Stock, par value $0.01 per share (Title of Class |
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| August 22, 2022 |
EX-99.C.2 3 d351310dex99c2.htm EX-99.C.2 Exhibit (c)(2) PRELIMINARY BACKGROUND MATERIALS Project Panda Presentation to the Special Committee of the Board of Directors July 6, 2022 Agenda Items–ª1 Summary of Proposals â–ª2 Summary Financial Analyses â–ª 3 Discounted Cash Flow Analysis â–ª4 Present Value of Future Share Price and Dividends â–ª5 Trading Overview â–ª 6 Premiums and Multiples Overview |
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| August 22, 2022 |
Exhibit (c)(3) HIGHLY CONFIDENTIAL P r o j e c t P a n d a P r e s e n t a t i o n t o t h e S p e c i a l C o m m i t t e e o f t h e B o a r d o f D i r e c t o r s July 26, 2022 HIGHLY CONFIDENTIAL Summary of Transaction Panda Investment Management, LLC will acquire all outstanding Class A shares of Panda Investment Transaction Management, Inc. |
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| August 22, 2022 |
Exhibit (c)(1) PRELIMINARY BACKGROUND MATERIALS Project Panda Presentation to the Special Committee of the Board of Directors June 18, 2022 PRELIMINARY BACKGROUND MATERIALS Agenda Items 1 Summary of Proposals 2 Trading Overview 3 Premiums and Multiples Overview 4 Selected Valuation Benchmarks A Appendix June 2022 2 PRELIMINARY BACKGROUND MATERIALS 1 Summary of Proposals $8. |
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| August 22, 2022 |
PZN / Pzena Investment Management, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Pzena Investment Management, Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| August 22, 2022 |
Exhibit 107 Calculation of Filing Fee Table Table 1 - Transaction Valuation Transaction valuation Fee Rate Amount of Filing Fee Fees to be Paid $166,885,614(1) . |
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| August 22, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi |
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| August 22, 2022 |
Exhibit (c)(6) Honesty | Integrity | Performance Project Panda Confidential Presentation to the Special Committee of the Board of Directors 25 July 2022 www. |
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| August 22, 2022 |
Exhibit Fee Table Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) Pzena Investment Management, Inc. |
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| August 22, 2022 |
Exhibit (c)(4) HIGHLY CONFIDENTIAL P r o j e c t P a n d a P r e s e n t a t i o n t o t h e S p e c i a l C o m m i t t e e o f t h e B o a r d o f D i r e c t o r s July 26, 2022 HIGHLY CONFIDENTIAL S u m m a r y o f Tr a n s a c t i o n ??? Panda Investment Management, LLC will acquire all outstanding Class A shares of Panda Investment Transaction Management, Inc. |
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| August 8, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 08, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) ( |
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| August 8, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2022 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2022 ASSETS UNDER MANAGEMENT New York, NY, August 8, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of July 31, 2022. AUM for month-end July 2022, month-end June 2022, and month-end July 2021 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ |
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| August 8, 2022 |
PZN / Pzena Investment Management, Inc. / GAMCO INVESTORS, INC. ET AL Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Pzena Investment Management, Inc. (Name of Issuer) Class A common stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Address and Telephone Number |
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| August 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2022 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZEN |
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| July 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 28, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 28, 2022 |
Exhibit 10.1 EXECUTION VERSION VOTING AGREEMENT VOTING AGREEMENT (this ?Agreement?), dated as of July 26, 2022, by and among Pzena Investment Management, Inc., a Delaware corporation (the ?Corporation?) on the one hand, and Richard S. Pzena, John P. Goetz, William L. Lipsey, Chenyu Caroline Cai, and Allison Fisch (collectively, the ?Stockholders?), on the other hand. WHEREAS, each Stockholder is a |
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| July 28, 2022 |
Exhibit 10.2 Execution Version July 26, 2022 Pzena Investment Management, LLC Senior Credit Facility Commitment Letter Pzena Investment Management, LLC 320 Park Avenue, 8th Floor New York, New York 10022 Attention: Chief Financial Officer Ladies and Gentlemen: Pzena Investment Management LLC (?Borrower? or ?you?) has advised JPMorgan Chase Bank, N.A. (?JPMorgan?, ?we?, ?us? or the ?Commitment Part |
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| July 28, 2022 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among PZENA INVESTMENT MANAGEMENT, LLC, PANDA MERGER SUB, LLC and PZENA INVESTMENT MANAGEMENT, INC. Dated as of July 26, 2022 Table of Contents Page ARTICLE I THE MERGER Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 2 Section 1.4 Effects of the Merger 2 Section 1.5 Certificate of Formation and Operating A |
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| July 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 26, 2022 |
Exhibit 99.2 I just wanted to make sure you saw the announcement that a Special Committee of our Board of Directors has approved a plan to take Pzena Investment Management private through a transaction in which holders of PZN Class A common stock will receive $9.60 per share in cash, a premium of % to today?s close and % to the 90 calendar day VWAP. I would be happy to answer your questions and ex |
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| July 26, 2022 |
Email to Clients/Consultants/Prospects Exhibit 99.3 Email to Clients/Consultants/Prospects Dear , I am writing to call your attention to an important and exciting development for our firm. Just now, we issued a press release that we intend to become a private company. While there is still a customary process that needs to occur to effectuate the transaction, including approval by our public shareholders, we believe that this step will |
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| July 26, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 26, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 26, 2022 |
Talking Points on Going Private Transaction Exhibit 99.5 Talking Points on Going Private Transaction 1. Repeat the Transaction Terms: Pzena Investment Management, Inc. has entered into a transaction whereby all of the outstanding public shares (known as Class A shares) of the company would be converted into the right to receive $9.60 per share at the closing of the transaction. 2. History: We have been operating as a public company since Oc |
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| July 26, 2022 |
From: Richard Pzena and The Executive Committee Exhibit 99.4 To: PIM-all From: Richard Pzena and The Executive Committee Subject: Going Private Transaction Announcement Today we are beginning an exciting new chapter for our firm after 15 years as a public company. This afternoon we announced that we have entered into a definitive agreement whereby all of the outstanding public shares (known as Class A shares) of Pzena Investment Management, Inc |
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| July 26, 2022 |
Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. TO BECOME PRIVATE COMPANY AND REPORT RESULTS FOR THE SECOND QUARTER OF 2022 Publicly Traded Shares to Receive $9.60 per Share in Cash Pzena Management and Investment Teams to Continue to Lead Firm Pzena Reports Second Quarter 2022 Diluted EPS of $0.15 per Share New York, NY, July 26, 2022. Pzena Investment Management, Inc. (NYSE: PZN) (?PZN?) today an |
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| July 8, 2022 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JUNE 30, 2022 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE SECOND QUARTER OF 2022 New York, NY, July 8, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of June 30, 2022 and preliminary flows for the second quarter of 2022. AUM for month-end June 2022, month-end May 2022, and month-en |
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| July 8, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 08, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| June 7, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2022 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2022 ASSETS UNDER MANAGEMENT New York, NY, June 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of May 31, 2022. AUM for month-end May 2022, month-end April 2022, and month-end May 2021 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ bill |
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| June 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| May 19, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Com |
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| May 9, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 09, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Com |
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| May 9, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2022 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2022 ASSETS UNDER MANAGEMENT New York, NY, May 9, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of April 30, 2022. AUM for month-end April 2022, month-end March 2022, and month-end April 2021 are listed below: Pzena Investment Management, Inc. Assets Under Management1 |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2022 Or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZE |
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| April 19, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2022 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2022 ? Pzena reports first quarter 2022 Diluted EPS of $0.16. ? Assets under management ends the first quarter at $52.8 billion. ? Q1 2022 revenue increases 15 percent to $52.8 million from Q1 2021. ? Board declares a quarterly dividend of $0.03 per share. NEW YORK, April 19, 2022 - Pzena Investment Management, |
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| April 19, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 19, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| April 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| April 7, 2022 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MARCH 31, 2022 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE FIRST QUARTER OF 2022 New York, NY, April 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of March 31, 2022 and preliminary flows for the first quarter of 2022. AUM for month-end March 2022, month-end February 2022, and m |
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| April 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| April 4, 2022 |
DEFA14A 1 2022proxy-defa14ano.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only |
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| March 9, 2022 |
Form of Class B-1 Unit Agreement (filed herewith) EX-10.22 2 pzn-ex1022.htm EX-10.22 Exhibit 10.22 PZENA INVESTMENT MANAGEMENT, LLC PROFITS INTEREST AWARD AGREEMENT This PROFITS INTEREST AWARD AGREEMENT (this “Agreement”), dated as of [·], (the “Date of Grant”), is delivered by Pzena Investment Management, LLC, a Delaware limited liability company (the “Company”) to [·] (the “Participant”). RECITALS WHEREAS, pursuant to the terms of the [Pzena In |
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| March 9, 2022 |
EX-10.34 3 pzn-ex1034.htm EX-10.34 Exhibit 10.34 SECOND AMENDMENT OF LEASE THIS SECOND AMENDMENT OF LEASE (this “Amendment”) is made as of the 21st day of January, 2022, between 320 PARK AVENUE LLC, a Delaware limited liability company (as successor-in-interest to Mutual of America Life Insurance Company), having an office at 320 Park Avenue, New York, New York 10022 (hereinafter referred to as “L |
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| March 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2021 or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZENA INVESTMENT MANAGEMEN |
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| March 9, 2022 |
List of Subsidiaries of Pzena Investment Management, Inc. (filed herewith) EX-21.1 4 pzn-ex211.htm EX-21.1 Exhibit 21.1 Subsidiaries of Pzena Investment Management, Inc. Pzena Investment Management, LLC, a Delaware limited liability company. Pzena Investment Management, Pty Ltd, is a proprietary limited company incorporated in Australia. Pzena Investment Management, Ltd is a private limited company incorporated in England and Wales. Pzena Investment Management Europe Lim |
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| March 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| March 7, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2022 ASSETS UNDER MANAGEMENT EX-99.1 2 pzn-ex991.htm EX-99.1 EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2022 ASSETS UNDER MANAGEMENT New York, NY, March 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of February 28, 2022. AUM for month-end February 2022, month-end January 2022, and month-end February 2021 are listed below: Pzena Inves |
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| February 14, 2022 |
PZN / Pzena Investment Management, Inc. / DEPRINCE RACE & ZOLLO INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 12)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Numbe |
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| February 14, 2022 |
WHG / Westwood Holdings Group, Inc. / DEPRINCE RACE & ZOLLO INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
SPOK / Spok Holdings Inc / DEPRINCE RACE & ZOLLO INC Passive Investment SC 13G 1 drz-spk123121.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Spok Holdings, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 Per Share (Title of Class of Securities) 84863T106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate |
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| February 14, 2022 |
PZN / Pzena Investment Management, Inc. / DEPRINCE RACE & ZOLLO INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| February 7, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2022 ASSETS UNDER MANAGEMENT EX-99.1 2 pzn-ex991.htm EX-99.1 EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2022 ASSETS UNDER MANAGEMENT New York, NY, February 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of January 31, 2022. AUM for month-end January 2022, month-end December 2021, and month-end January 2021 are listed below: Pzena Inves |
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| February 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 01, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| February 1, 2022 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2021 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2021 ? Pzena reports full year 2021 Diluted EPS of $1.00 and fourth quarter 2021 Diluted EPS of $0.24. ? Assets under management ends the fourth quarter at $52.5 billion. ? 2021 full year revenue increases 44 percent to $199.3 million. ? Board declares a year-end dividend of $0.53 per share. NEW |
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| January 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| January 7, 2022 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2021 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE FOURTH QUARTER OF 2021 New York, NY, January 7, 2022: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of December 31, 2021 and preliminary flows for the fourth quarter of 2021. AUM for month-end December 2021, month-end Novembe |
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| January 7, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 07, 2022 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| December 21, 2021 |
EXPLANATION OF RESPONSES: REMARKS: 144 1 form144.htm FORM 144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D.C. 20549 Expires: June 30, 2020 Estimated average burden FORM 144 hours per response 1.00 NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: Transmit for filing 3 copies of th |
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| December 7, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2021 ASSETS UNDER MANAGEMENT New York, NY, December 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of November 30, 2021. AUM for month-end November 2021, month-end October 2021, and month-end November 2020 are listed below: Pzena Investment Management, Inc. Assets |
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| December 7, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 07, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| November 8, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2021 ASSETS UNDER MANAGEMENT New York, NY, November 8, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of October 31, 2021. AUM for month-end October 2021, month-end September 2021, and month-end October 2020 are listed below: Pzena Investment Management, Inc. Assets U |
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| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2021 Or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 |
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| November 8, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 08, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 19, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 21, 2021 |
EX-10.1 2 pzn-ex1016.htm EX-10.1 Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement ("Agreement") is made as of October 19, 2021, by and between Pzena Investment Management, Inc., a Delaware corporation (along with any entities referred to in Section 2(c) below, the "Company"), and Chenyu Caroline Cai ("Director"). RECITALS WHEREAS, highly competent persons have become more relu |
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| October 19, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2021 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2021 ? Pzena reports third quarter 2021 Diluted EPS of $0.27. ? Assets under management ends the third quarter at $50.8 billion. ? Q3 2021 revenue increases 52 percent to $51.6 million from Q3 2020. ? Board declares a quarterly dividend of $0.03 per share. NEW YORK, October 19, 2021 - Pzena Investment Managemen |
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| October 19, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 19, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 7, 2021 |
EX-99.1 2 pzn-ex991.htm EX-99.1 EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES SEPTEMBER 30, 2021 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE THIRD QUARTER OF 2021. New York, NY, October 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of September 30, 2021 and preliminary flows for the third quarter of 2021. AUM for month-end |
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| October 7, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 07, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| September 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 8, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| September 8, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2021 ASSETS UNDER MANAGEMENT New York, NY, September 8, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of August 31, 2021. AUM for month-end August 2021, month-end July 2021, and month-end August 2020 are listed below: Pzena Investment Management, Inc. Assets Under Man |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 9, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| August 9, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2021 ASSETS UNDER MANAGEMENT New York, NY, August 9, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of July 31, 2021. AUM for month-end July 2021, month-end June 2021, and month-end July 2020 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2021 Or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZEN |
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| July 20, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2021 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2021 ? Pzena reports second quarter 2021 Diluted EPS of $0.25. ? Assets under management ends the second quarter at $53.1 billion. ? Q2 2021 revenue increases 69 percent to $50.9 million from Q2 2020. ? Board declares a quarterly dividend of $0.03 per share. ? Company announces $40.0 million increase in author |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 20, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 7, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Com |
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| July 7, 2021 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JUNE 30, 2021 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE SECOND QUARTER OF 2021. New York, NY, July 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of June 30, 2021 and preliminary flows for the second quarter of 2021. AUM for month-end June 2021, month-end May 2021, and month-e |
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| June 7, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2021 ASSETS UNDER MANAGEMENT New York, NY, June 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of May 31, 2021. AUM for month-end May 2021, month-end April 2021, and month-end May 2020 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ bill |
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| June 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 7, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Com |
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| May 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 19, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Com |
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| May 7, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2021 ASSETS UNDER MANAGEMENT New York, NY, May 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of April 30, 2021. AUM for month-end April 2021, month-end March 2021, and month-end April 2020 are listed below: Pzena Investment Management, Inc. Assets Under Management1 |
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| May 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 7, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Comm |
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| May 6, 2021 |
Form of Restricted Class A Common Stock Agreement (filed herewith) Exhibit 10.2 PZENA INVESTMENT MANAGEMENT, INC Pzena Investment Management, Inc. Equity Incentive Plan Form of Restricted Stock Agreement This RESTRICTED STOCK Agreement (?Agreement?) is made this [] day of [], [] by and between Pzena Investment Management, Inc., a corporation organized under the laws of the State of Delaware (and together with its subsidiaries or affiliates, the "Company"), and [] |
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| May 6, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2021 Or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZE |
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| April 20, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2021 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2021 ? Pzena reports first quarter 2021 Diluted EPS of $0.24. ? Assets under management ends the first quarter at $49.2 billion. ? Q1 2021 revenue increases 32 percent to $45.9 million from Q1 2020. ? Board declares a quarterly dividend of $0.03 per share. NEW YORK, April 20, 2021 - Pzena Investment Management, |
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| April 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 20, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| April 7, 2021 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MARCH 31, 2021 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE FIRST QUARTER OF 2021 New York, NY, April 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of March 31, 2021 and preliminary flows for the first quarter of 2021. AUM for month-end March 2021, month-end February 2021, and m |
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| April 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 7, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| March 10, 2021 |
Exhibit 14.1 CODE OF BUSINESS CONDUCT AND ETHICS Code of Business Conduct and Ethics Revised June 2020 Pzena Investment Management, Inc. Pzena investment Management, LLC CODE OF BUSINESS CONDUCT AND ETHICS Dear Colleagues/Associates: The good name and reputation of Pzena Investment Management, Inc., Pzena Investment Management, LLC and their subsidiaries (collectively, the "Company") are a result |
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| March 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2020 or ? Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZENA INVESTMENT MANAGEMEN |
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| March 10, 2021 |
List of Subsidiaries of Pzena Investment Management, Inc. (filed herewith) Exhibit 21.1 Subsidiaries of Pzena Investment Management, Inc. Pzena Investment Management, LLC, a Delaware limited liability company. Pzena Investment Management, Pty Ltd, is a proprietary limited company incorporated in Australia. Pzena Investment Management, Ltd is a private limited company incorporated in England and Wales. Pzena Financial Services, LLC, a Delaware limited liability company. |
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| March 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 8, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| March 8, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2021 ASSETS UNDER MANAGEMENT New York, NY, March 8, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of February 28, 2021. AUM for month-end February 2021, month-end January 2021, and month-end February 2020 are listed below: Pzena Investment Management, Inc. Assets Un |
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| February 16, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 11)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Numbe |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2021 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2021 ASSETS UNDER MANAGEMENT New York, NY, February 8, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of January 31, 2021. AUM for month-end January 2021, month-end December 2020, and month-end January 2020 are listed below: Pzena Investment Management, Inc. Assets Un |
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| February 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 8, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| February 2, 2021 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2020 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2020 • Pzena reports full year 2020 Diluted EPS of $0.52 and fourth quarter 2020 Diluted EPS of $0.22. • Assets under management ends the fourth quarter at $43.3 billion. • 2020 full year revenue decreases 8 percent to $138.6 million. • Board declares a year-end dividend of $0.25 per share. NEW Y |
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| February 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 2, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| January 28, 2021 |
Exhibit 10.1 INDEMNIFICATION AGREEMENT This Indemnification Agreement ("Agreement") is made as of January 26, 2021, by and between Pzena Investment Management, Inc., a Delaware corporation (along with any entities referred to in Section 2(c) below, the "Company"), and Shavar Jeffries ("Director"). RECITALS WHEREAS, highly competent persons have become more reluctant to serve publicly-held corporat |
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| January 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 26, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| January 7, 2021 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2020 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE FOURTH QUARTER OF 2020 New York, NY, January 7, 2021: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of December 31, 2020 and preliminary flows for the fourth quarter of 2020. AUM for month-end December 2020, month-end Novembe |
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| January 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 7, 2021 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) ( |
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| December 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| December 7, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2020 ASSETS UNDER MANAGEMENT New York, NY, December 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of November 30, 2020. AUM for month-end November 2020, month-end October 2020, and month-end November 2019 are listed below: Pzena Investment Management, Inc. Assets |
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| November 9, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2020 ASSETS UNDER MANAGEMENT New York, NY, November 9, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of October 31, 2020. AUM for month-end October 2020, month-end September 2020, and month-end October 2019 are listed below: Pzena Investment Management, Inc. Assets U |
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| November 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 9, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| November 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2020 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 |
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| October 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 20, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 20, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2020 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2020 • Assets under management ended the third quarter at $33.3 billion. • Q3 2020 revenue decreased 8 percent to $33.9 million from Q3 2019. • Q3 2020 GAAP diluted earnings per share decreased to $0.16 from $0.19 in Q3 2019. • Board declared a quarterly dividend of $0.03 per share. NEW YORK, October 20, 2020 - |
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| October 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) ( |
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| October 7, 2020 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES SEPTEMBER 30, 2020 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE THIRD QUARTER OF 2020 New York, NY, October 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of September 30, 2020 and preliminary flows for the third quarter of 2020. AUM for month-end September 2020, month-end August |
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| September 8, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2020 ASSETS UNDER MANAGEMENT New York, NY, September 8, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of August 31, 2020. AUM for month-end August 2020, month-end July 2020, and month-end August 2019 are listed below: Pzena Investment Management, Inc. Assets Under Man |
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| September 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 8, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| August 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| August 10, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2020 ASSETS UNDER MANAGEMENT New York, NY, August 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of July 31, 2020. AUM for month-end July 2020, month-end June 2020, and month-end July 2019 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ |
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| August 6, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2020 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZEN |
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| July 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 28, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| July 28, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2020 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2020 • Assets under management ends the second quarter at $31.5 billion. • Q2 2020 revenue decreases 20 percent to $30.1 million from Q2 2019. • Q2 2020 GAAP diluted earnings per share increases to $0.13. • Board declares a quarterly dividend of $0.03 per share. NEW YORK, July 28, 2020 - Pzena Investment Manag |
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| July 10, 2020 |
CORRESP 1 filename1.htm July 10, 2020 VIA EDGAR Mr. Robert Klein Staff Accountant United States Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: Pzena Investment Management, Inc. Form 10-K for the Fiscal Year Ended December 31, 2019 Filed March 10, 2020 File No. 001-33761 Dear Mr. Klein: We are responding to your comment letter dated |
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| July 7, 2020 |
8-K 1 pzn-8k20200707.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisd |
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| July 7, 2020 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JUNE 30, 2020 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE SECOND QUARTER OF 2020 New York, NY, July 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of June 30, 2020 and preliminary flows for the second quarter of 2020. AUM for month-end June 2020, month-end May 2020, and month-en |
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| June 8, 2020 |
8-K 1 pzn-8k20200608.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 8, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisd |
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| June 8, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2020 ASSETS UNDER MANAGEMENT New York, NY, June 8, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of May 31, 2020. AUM for month-end May 2020, month-end April 2020, and month-end May 2019 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ bill |
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| May 21, 2020 |
8-K 1 pzn-8k20200519.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 19, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisd |
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| May 11, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2020 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZE |
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| May 7, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2020 ASSETS UNDER MANAGEMENT New York, NY, May 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of April 30, 2020. AUM for month-end April 2020, month-end March 2020, and month-end April 2019 are listed below: Pzena Investment Management, Inc. Assets Under Management1 |
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| May 7, 2020 |
8-K 1 pzn-8k20200507.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdi |
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| April 29, 2020 |
- DEFA14A - VIRTUAL MEETING ANNOUNCEMENT DEFA14A 1 pzn-defa14a20200519.htm DEFA14A - VIRTUAL MEETING ANNOUNCEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confid |
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| April 21, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2020 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2020 • Assets under management ends the first quarter at $26.8 billion. • Q1 2020 revenue decreases 7 percent to $34.7 million from Q1 2019. • Q1 2020 GAAP diluted earnings per share decreases to $0.00. • Board declares a quarterly dividend of $0.03 per share. NEW YORK, April 21, 2020 - Pzena Investment Managem |
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| April 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 21, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (C |
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| April 7, 2020 |
EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MARCH 31, 2020 ASSETS UNDER MANAGEMENT AND FLOWS FOR THE FIRST QUARTER OF 2020 New York, NY, April 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of March 31, 2020 and preliminary flows for the first quarter of 2020. AUM for month-end March 2020, month-end February 2020, and m |
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| April 7, 2020 |
8-K 1 pzn-8k20200407.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juris |
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| April 6, 2020 |
PZN / Pzena Investment Management, Inc. DEFA14A - - DEFA14A DEFA14A 1 pzn-defa14a20200519.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commissi |
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| April 6, 2020 |
PZN / Pzena Investment Management, Inc. DEF 14A - - DEF 14A DEF 14A 1 pzn-def14a20200519.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement |
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| March 10, 2020 |
Exhibit 10.28 EXECUTION VERSION PZENA INVESTMENT MANAGEMENT, LP AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP Dated as of January 1, 2016 Amended and Restated as of December 30, 2019 THE PARTNERSHIP INTERESTS REPRESENTED BY THIS AMENDED AND RESTATED AGREEMENT OF LIMITED PARTNERSHIP HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933 OR UNDER ANY OTHER APPLICABLE SECURIT |
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| March 10, 2020 |
PZN / Pzena Investment Management, Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2019 or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZENA INVESTMENT MANAGEMEN |
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| March 10, 2020 |
Form of Class B-1 Unit Agreement – Immediate Vesting (filed herewith) Exhibit 10.22 PZENA INVESTMENT MANAGEMENT, LLC PROFITS INTEREST AWARD AGREEMENT This PROFITS INTEREST AWARD AGREEMENT (this “Agreement”), dated as of [DATE], (the “Date of Grant”), is delivered by Pzena Investment Management, LLC, a Delaware limited liability company (the “Company”) to [] (the “Participant”). RECITALS WHEREAS, pursuant to the terms of the [Pzena Investment Management, LLC Amended |
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| March 10, 2020 |
List of Subsidiaries of Pzena Investment Management, Inc. (filed herewith) Exhibit 21.1 Subsidiaries of Pzena Investment Management, Inc. Pzena Investment Management, LLC, a Delaware limited liability company. Pzena Investment Management, Pty Ltd, is a proprietary limited company incorporated in Australia. Pzena Investment Management, Ltd is a private limited company incorporated in England and Wales. Pzena Financial Services, LLC, a Delaware limited liability company. |
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| March 10, 2020 |
Exhibit 10.1 EXECUTION VERSION AMENDED AND RESTATED OPERATING AGREEMENT PZENA INVESTMENT MANAGEMENT, LLC (A Delaware Limited Liability Company) Organized as of November 27, 1995 Restated as of January 3, 1996 Amended and Restated as of January 3, 2005 Further Amended and Restated as of January 3, 2006 Further Amended and Restated as of December 31, 2006, as amended as of March 31, 2007 Further Ame |
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| March 10, 2020 |
Description of Capital Stock (filed herewith) Exhibit 4.6 DESCRIPTION OF CAPITAL STOCK The following is a description of the material terms of our capital stock. Our authorized capital stock consists of 750 million shares of Class A common stock, par value $0.01 per share, 750 million shares of Class B common stock, par value $0.000001 per share and 200 million shares of preferred stock, par value $0.01 per share. As of December 31, 2019, 18, |
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| March 10, 2020 |
Form of Exchange Rights of Class B-1 Members (filed herewith) Exhibit 4.3 Exhibit D EXCHANGE RIGHTS OF CLASS B-1 MEMBERS ARTICLE I GENERAL PROVISIONS 1.01.General. This Exhibit D is a part of the Amended and Restated Operating Agreement of Pzena Investment Management, LLC, dated as of [], 2019 (the “Agreement”). Capitalized terms used in this Exhibit D have the respective meanings given to them in Section 1.02 hereof or, if not defined therein, in Section 1. |
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| March 10, 2020 |
Form of Exchange Rights of Class B Members (filed herewith) Exhibit 4.2 Exhibit B EXCHANGE RIGHTS OF CLASS B MEMBERS ARTICLE I GENERAL PROVISIONS 1.01.General. This Exhibit B is a part of the Amended and Restated Operating Agreement of Pzena Investment Management, LLC, dated as of [•] , 2019 (the “Agreement”). Capitalized terms used in this Exhibit B have the respective meanings given to them in Section 1.2 hereof or, if not defined therein, in Section 1.0 |
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| March 9, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 29, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 29, 2020 ASSETS UNDER MANAGEMENT New York, NY, March 9, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of February 29, 2020. AUM for month-end February 2020, month-end January 2020, and month-end February 2019 are listed below: Pzena Investment Management, Inc. Assets Un |
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| March 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 9, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Co |
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| February 18, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 10)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Numbe |
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| February 7, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2020 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2020 ASSETS UNDER MANAGEMENT New York, NY, February 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of January 31, 2020. AUM for month-end January 2020, month-end December 2019, and month-end January 2019 are listed below: Pzena Investment Management, Inc. Assets Un |
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| February 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| February 6, 2020 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of common stock, of Pzena Investment Management, Inc., is being filed, and all amendments thereto will be filed, on behal |
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| February 6, 2020 |
PZN / Pzena Investment Management, Inc. / TD ASSET MANAGEMENT INC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Pzena Investment Management, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 74731Q103 (CUSIP Number) December 31st, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 4, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2019 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2019 • Pzena reports full year 2019 Diluted EPS of $0.46, or $0.73 as adjusted and fourth quarter 2019 Diluted EPS of ($0.08), or $0.20 as adjusted. • Assets under management ends the fourth quarter at an all-time high of $41.2 billion. • 2019 full year revenue decreases 2% to $150.7 million. • 2 |
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| February 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 4, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| January 14, 2020 |
8-K 1 pzn-8k20200113.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 13, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Ju |
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| January 7, 2020 |
8-K 1 pzn-8k20200107.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 7, 2020 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jur |
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| January 7, 2020 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, January 7, 2020: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of December 31, 2019. AUM for month-end December 2019, month-end November 2019, and month-end December 2018 are listed below: Pzena Investment Management, Inc. Assets |
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| December 31, 2019 |
PZN / Pzena Investment Management, Inc. S-8 - - S-8 S-8 1 pzn-s8.htm S-8 Registration No. 333- As filed with the Securities and Exchange Commission on December 30, 2019 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Pzena Investment Management, Inc. (Exact name of registrant as specified in its charter) Delaware 20-899751 (State or other jurisdiction of incorp |
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| December 9, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 9, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| December 9, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2019 ASSETS UNDER MANAGEMENT New York, NY, December 9, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of November 30, 2019. AUM for month-end November 2019, month-end October 2019, and month-end November 2018 are listed below: Pzena Investment Management, Inc. Assets |
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| November 8, 2019 |
and for the fiscal quarter ended September 30, 2019, filed with the Commission on November 8, 2019. Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2019 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 |
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| November 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES OCTOBER 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, November 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of October 31, 2019. AUM for month-end October 2019, month-end September 2019, and month-end October 2018 are listed below: Pzena Investment Management, Inc. Assets U |
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| November 7, 2019 |
8-K 1 pzn-8k20191107.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): November 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Ju |
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| October 17, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2019 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE THIRD QUARTER OF 2019 • Assets under management ended the third quarter at $35.8 billion. • Revenue was $37.1 million for the third quarter of 2019. • GAAP diluted earnings per share was $0.19 for the third quarter of 2019. • Board declared a quarterly dividend of $0.03 per share. NEW YORK, October 17, 2019 - Pzena Investment M |
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| October 17, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 17, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| October 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES SEPTEMBER 30, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES SEPTEMBER 30, 2019 ASSETS UNDER MANAGEMENT New York, NY, October 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of September 30, 2019. AUM for month-end September 2019, month-end August 2019, and month-end September 2018 are listed below: Pzena Investment Management, Inc. Asse |
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| October 7, 2019 |
8-K 1 pzn-8k20191007.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): October 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jur |
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| September 9, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES AUGUST 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, September 9, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of August 31, 2019. AUM for month-end August 2019, month-end July 2019, and month-end August 2018 are listed below: Pzena Investment Management, Inc. Assets Under Man |
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| September 9, 2019 |
8-K 1 pzn-8k20190909.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): September 9, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other J |
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| August 12, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 9)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Number |
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| August 7, 2019 |
8-K 1 pzn-8k20190807.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): August 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juri |
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| August 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JULY 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, August 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of July 31, 2019. AUM for month-end July 2019, month-end June 2019, and month-end July 2018 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ |
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| August 6, 2019 |
for the fiscal quarter ended June 30, 2019, filed with the Commission on August 6, 2019; Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2019 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZEN |
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| July 17, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2019 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE SECOND QUARTER OF 2019 • Assets under management ended the second quarter at $37.3 billion. • Revenue was $37.8 million for the second quarter of 2019. • GAAP diluted earnings per share was $0.18 for the second quarter of 2019. • Board declared a quarterly dividend of $0.03 per share. NEW YORK, July 17, 2019 - Pzena Investment |
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| July 17, 2019 |
8-K 1 pzn-8k20190718.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 17, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juris |
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| July 8, 2019 |
8-K 1 pzn-8k20190708.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): July 8, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisd |
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| July 8, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JUNE 30, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JUNE 30, 2019 ASSETS UNDER MANAGEMENT New York, NY, July 8, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of June 30, 2019. AUM for month-end June 2019, month-end May 2019, and month-end June 2018 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ bi |
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| June 10, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MAY 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, June 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of May 31, 2019. AUM for month-end May 2019, month-end April 2019, and month-end May 2018 are listed below: Pzena Investment Management, Inc. Assets Under Management1 ($ bill |
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| June 10, 2019 |
8-K 1 pzn-8k20190607.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): June 10, 2019 (June 7, 2019) PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State |
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| May 21, 2019 |
8-K 1 pzn-8k20190521.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 21, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisd |
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| May 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): May 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) (Comm |
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| May 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES APRIL 30, 2019 ASSETS UNDER MANAGEMENT New York, NY, May 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of April 30, 2019. AUM for month-end April 2019, month-end March 2019, and month-end April 2018 are listed below: Pzena Investment Management, Inc. Assets Under Management1 |
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| May 3, 2019 |
PZN / Pzena Investment Management, Inc. 10-Q Quarterly Report 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2019 Or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZE |
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| April 17, 2019 |
8-K 1 pzn-8k20190417.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 17, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juri |
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| April 17, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2019 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FIRST QUARTER OF 2019 • Assets under management ends the first quarter at $37.1 billion. • Q1 2019 revenue decreases 5 percent to $37.4 million from Q1 2018. • Q1 2019 GAAP diluted earnings per share decreases 15 percent to $0.17 from Q1 2018. • Board declares a quarterly dividend of $0.03 per share. NEW YORK, April 17, 2019 - |
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| April 8, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MARCH 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES MARCH 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, April 8, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of March 31, 2019. AUM for month-end March 2019, month-end February 2019, and month-end March 2018 are listed below: Pzena Investment Management, Inc. Assets Under Managem |
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| April 8, 2019 |
8-K 1 pzn-8k20190408.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): April 8, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juris |
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| April 3, 2019 |
PZN / Pzena Investment Management, Inc. DEFA14A DEFA14A 1 pzn-defa14a20190521.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commissi |
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| April 3, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| March 8, 2019 |
Code of Business Conduct and Ethics, effective as of October 25, 2007, amended as of February 2019 PZENA INVESTMENT MANAGEMENT, INC. PZENA INVESTMENT MANAGEMENT, LLC CODE OF BUSINESS CONDUCT AND ETHICS (Revised February 2019) Dear Colleagues/Associates: The good name and reputation of Pzena Investment Management, Inc., Pzena Investment Management, LLC and their subsidiaries (collectively, the "Company") are a result of the dedication and hard work of all of us. Together, we are responsible for |
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| March 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended December 31, 2018 or ☐ Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission file number 001-33761 PZENA INVESTMENT MANAGEMEN |
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| March 8, 2019 |
Exhibit 10.36 FIRST AMENDMENT OF LEASE THIS FIRST AMENDMENT OF LEASE (this “Amendment”) is made as of the 8th day of November, 2018, between MUTUAL OF AMERICA LIFE INSURANCE COMPANY, a New York corporation, having an office at 320 Park Avenue, New York, New York 10022 (hereinafter referred to as “Landlord”), and PZENA INVESTMENT MANAGEMENT, LLC, a Delaware limited liability company, having its pri |
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| March 8, 2019 |
List of Subsidiaries of Pzena Investment Management, Inc. (filed herewith) Exhibit 21.1 Subsidiaries of Pzena Investment Management, Inc. Pzena Investment Management, LLC, a Delaware limited liability company. Pzena Investment Management, Pty Ltd, is a proprietary limited company incorporated in Australia. Pzena Investment Management, Ltd is a private limited company incorporated in England and Wales. Pzena Financial Services, LLC, a Delaware limited liability company. |
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| March 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES FEBRUARY 28, 2019 ASSETS UNDER MANAGEMENT New York, NY, March 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of February 28, 2019. AUM for month-end February 2019, month-end January 2019, and month-end February 2018 are listed below: Pzena Investment Management, Inc. Assets Un |
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| March 7, 2019 |
8-K 1 pzn-8k20190307.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): March 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Juris |
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| February 14, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 8)* Pzena Investment Management, Inc. (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 74731Q103 (CUSIP Number |
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| February 8, 2019 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of common stock, of Pzena Investment Management, Inc., is being filed, and all amendments thereto will be filed, on behal |
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| February 8, 2019 |
PZN / Pzena Investment Management, Inc. / TD ASSET MANAGEMENT INC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Pzena Investment Management, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 74731Q103 (CUSIP Number) December 31st, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| February 5, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2018 Exhibit 99.1 PZENA INVESTMENT MANAGEMENT, INC. REPORTS RESULTS FOR THE FOURTH QUARTER AND FULL YEAR OF 2018 • Assets under management ends the fourth quarter at $33.4 billion. • 2018 full year revenue increases 9% to $153.6 million. • 2018 full year GAAP diluted earnings per share increases 93% reflecting the net expense from the Tax Cuts and Jobs Act in 2017. Adjusting for the changes in the defe |
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| February 5, 2019 |
8-K 1 pzn-8k20190207.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 5, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Ju |
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| February 5, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2019 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES JANUARY 31, 2019 ASSETS UNDER MANAGEMENT New York, NY, February 5, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of January 31, 2019. AUM for month-end January 2019, month-end December 2018, and month-end January 2018 are listed below: Pzena Investment Management, Inc. Assets Un |
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| February 5, 2019 |
8-K 1 pzn-8k20190205.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): February 5, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Ju |
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| January 7, 2019 |
8-K 1 pzn-8k20190107.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): January 7, 2019 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jur |
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| January 7, 2019 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2018 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES DECEMBER 31, 2018 ASSETS UNDER MANAGEMENT New York, NY, January 7, 2019: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of December 31, 2018. AUM for month-end December 2018, month-end November 2018, and month-end December 2017 are listed below: Pzena Investment Management, Inc. Assets |
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| December 20, 2018 |
PZENA INVESTMENT MANAGEMENT, INC. Class A Common Stock 424B7 1 pzn-424b7.htm 424B7 Filed Pursuant to Rule 424(b)(7) Registration No. 333-194885 Prospectus Supplement No. 5 (To Prospectus dated April 30, 2014, Prospectus Supplements dated June 25, 2015, May 6, 2016, December 16, 2016, and December 19, 2017) PZENA INVESTMENT MANAGEMENT, INC. Class A Common Stock This prospectus supplement supplements and amends the prospectus dated April 30, 2014 as sup |
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| December 7, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of Earliest Event Reported): December 7, 2018 PZENA INVESTMENT MANAGEMENT, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 001-33761 20-8999751 (State or Other Jurisdiction of Incorporation) |
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| December 7, 2018 |
PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2018 ASSETS UNDER MANAGEMENT EXHIBIT 99.1 PZENA INVESTMENT MANAGEMENT, INC. ANNOUNCES NOVEMBER 30, 2018 ASSETS UNDER MANAGEMENT New York, NY, December 7, 2018: Pzena Investment Management, Inc. (NYSE: PZN) today reported its preliminary assets under management as of November 30, 2018. AUM for month-end November 2018, month-end October 2018, and month-end November 2017 are listed below: Pzena Investment Management, Inc. Assets |
