Document


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 18, 2016
 
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:
o Written communications pursuant to Rule 425 under the Securities Act.
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act.
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.





ITEM 2.02
RESULTS OF OPERATION AND FINANCIAL CONDITION.
 
On October 18, 2016, Pzena Investment Management, Inc. (the “Company”) issued a press release reporting its financial results for the third quarter of 2016. 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 18, 2016, of Pzena Investment Management, Inc.





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 18, 2016
By:
/s/ Jessica R. Doran
 
 
Name: Jessica R. Doran
 
 
Title: Chief Financial Officer
 
 
 





EXHIBIT INDEX

Exhibit No.
Document
99.1
Press release, dated October 18, 2016, of Pzena Investment Management, Inc.