Current Report Filing (8-k)
February 02 2021 - 4:26PM
Edgar (US Regulatory)
false
0001399249
0001399249
2021-02-02
2021-02-02
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)
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Delaware
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001-33761
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20-8999751
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification Number)
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320 Park Avenue, New York, New York
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10022
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(Address of Principal Executive Offices)
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Zip Code
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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:
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Written communications pursuant to Rule 425 under the Securities Act.
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act.
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.
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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. ☐
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Class A common stock, par value $0.01 per share
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PZN
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New York Stock Exchange
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ITEM 2.02
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RESULTS OF OPERATION AND FINANCIAL CONDITION.
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On February 2, 2021, Pzena Investment Management, Inc. (the “Company”) issued a press release reporting its financial results for the fourth quarter of 2020. Copies of the press release and related attachments are furnished as Exhibit 99.1 to this Current Report.
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ITEM 9.01
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FINANCIAL STATEMENTS AND EXHIBITS.
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(d) Exhibits
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99.1 Press release, dated February 2, 2021, of Pzena Investment Management, Inc.
104 Cover Page Interactive Data File (embedded within the Inline XBRL document)
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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.
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PZENA INVESTMENT MANAGEMENT, INC.
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Dated: February 2, 2021
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By:
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/s/ Jessica R. Doran
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Name: Jessica R. Doran
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Title: Chief Financial Officer
(Principal Financial and Accounting Officer)
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