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Section 1: 8-K (8-K)

pzn-8k_20180529.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): May 31, 2018 (May 29, 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)

 

(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 5.02

DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS.

On May 29, 2018 Jessica R. Doran, the Chief Financial Officer of Pzena Investment Management, Inc. (the “Company”) went on maternity leave.  In Ms. Doran’s absence, other executive officers of the Company will assume many of Ms. Doran’s duties while remaining in their current positions.  In particular, Gary J. Bachman, the Company’s Chief Operating Officer, will act as the Company’s principal financial officer during the term of Ms. Doran’s maternity leave, after which she will return to her position as Chief Financial Officer.

Mr. Bachman is the Company’s Chief Operating Officer and member of Pzena Investment Management, LLC’s Executive Committee. Mr. Bachman joined the Company in 2012 and served as Chief Financial Officer before assuming the role of Chief Operating Officer in July 2016.

 


 

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: May 31, 2018

 

By:

 

/s/ Richard S. Pzena

 

 

Name:

 

Richard S. Pzena

 

 

Title:

 

Chief Executive Officer

 

 

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