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Section 1: 8-K (8-K)

pzn-8k_20190521.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 21, 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 5.07

SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.

The Annual Meeting of Stockholders of Pzena Investment Management, Inc. was held in New York, New York on May 21, 2019. At that meeting, the stockholders considered and acted upon the following proposals:

Proposal 1: Election of Directors. By the vote reflected below, the stockholders elected the following individuals as directors to hold office until the 2020 Annual Meeting of Stockholders of the Company:

 

Director

 

Class A

Shares

“For”

 

 

Class B

Shares

“For”

 

 

Class A

Shares

“Withheld”

 

 

Class B

Shares

“Withheld”

 

Richard S. Pzena

 

 

9,342,073

 

 

 

236,812,545

 

 

 

556,807

 

 

 

0

 

John P. Goetz

 

 

9,110,014

 

 

 

236,812,545

 

 

 

788,866

 

 

 

0

 

William L. Lipsey

 

 

9,110,014

 

 

 

236,812,545

 

 

 

788,866

 

 

 

0

 

Steven M. Galbraith

 

 

9,239,414

 

 

 

236,812,545

 

 

 

659,466

 

 

 

0

 

Joel M. Greenblatt

 

 

9,215,889

 

 

 

236,812,545

 

 

 

682,991

 

 

 

0

 

Richard P. Meyerowich

 

 

9,244,043

 

 

 

236,812,545

 

 

 

654,837

 

 

 

0

 

Charles D. Johnston

 

 

6,691,668

 

 

 

236,812,545

 

 

 

3,207,212

 

 

 

0

 

 

Proposal 2: Ratification of Independent Auditors. The stockholders voted to ratify the appointment of PricewaterhouseCoopers LLP as independent auditors for the Company for its fiscal year ending December 31, 2019. Voting was as follows:

 

 

 

FOR

 

 

AGAINST

 

 

ABSTAIN

 

Class A common stock

 

 

13,620,023

 

 

 

73,065

 

 

 

1,504

 

Class B common stock

 

 

236,812,545

 

 

 

 

 

 

 

 

 

 


 

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 21, 2019

 

By:

 

/s/ Joan Berger

 

 

Name:

 

Joan Berger

 

 

Title:

 

General Counsel

 

 

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