pzn-8k_20190107.htm

 

 

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 Jurisdiction of

Incorporation)

 

(Commission

File Number)

 

(IRS Employer Identification

Number)

 

320 Park Avenue, New York, New York

 

10022

(Address of Principal Executive Offices)

 

Zip Code

 

Registrant’s Telephone Number, Including Area Code: (212) 355-1600

(Former Name or Former Address, If Changed Since Last Report)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communications pursuant to Rule 425 under the Securities Act.

 

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act.

 

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act.

 

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company  ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

 

ITEM 8.01

OTHER EVENTS.

On January 7, 2019, Pzena Investment Management, Inc. issued a press release in which it reported its preliminary assets under management as of December 31, 2018.  A copy of the press release is attached to this Form 8-K.

ITEM 9.01

FINANCIAL STATEMENTS AND EXHIBITS.

99.1 Press release, dated January 7, 2019, of Pzena Investment Management, Inc.

 

 

 

EXHIBIT INDEX

 

Exhibit No.

 

Document

99.1

 

Press release, dated January 7, 2019, of Pzena Investment Management, Inc. reporting preliminary assets under management as of December 31, 2018.

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Pzena Investment Management, Inc.

 

 

 

 

Dated: January 7, 2019

By:

 

/s/ Jessica R. Doran

 

 

 

Name: Jessica R. Doran

 

 

 

Title: Chief Financial Officer