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)

 

(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 2.02

RESULTS OF OPERATION AND FINANCIAL CONDITION.

On October 17, 2019, Pzena Investment Management, Inc. (the “Company”) issued a press release reporting its financial results for the third quarter of 2019. Copies of the press release and related attachments are furnished as Exhibit 99.1 to this Current Report.

 

ITEM 9.01

FINANCIAL STATEMENTS AND EXHIBITS.

 

 

(d) Exhibits

 

 

 

99.1 Press release, dated October 17, 2019, of Pzena Investment Management, Inc.

 

 

 

 


 

EXHIBIT INDEX

 

 


 

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: October 17, 2019

By:

/s/ Jessica R. Doran

 

 

Name: Jessica R. Doran

 

 

Title: Chief Financial Officer

(Principal Financial and Accounting Officer)

 

 

 

Pzena Investment Managem... (NYSE:PZN)
Historical Stock Chart
From Jun 2020 to Jul 2020 Click Here for more Pzena Investment Managem... Charts.
Pzena Investment Managem... (NYSE:PZN)
Historical Stock Chart
From Jul 2019 to Jul 2020 Click Here for more Pzena Investment Managem... Charts.