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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Pzena Investment Management Inc | NYSE:PZN | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 9.65 | 0 | 01:00:00 |
FORM 3
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Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person * Cai Chenyu Caroline |
2. Date of Event Requiring Statement (MM/DD/YYYY)
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3. Issuer Name and Ticker or Trading Symbol Pzena Investment Management, Inc. [PZN] |
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___ X ___ Officer (give title below) _____ Other (specify below) Executive Vice President / |
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Beneficially Owned |
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1.Title of Security
(Instr. 4) |
2. Amount of Securities Beneficially Owned
(Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) |
4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
Class A Common stock, par value $0.01 | 216308 | D | |
Class B common stock, par value $0.000001 (1) | 714327 (2) | I | Pzena Investment Management, LP (3) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) |
6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B Units (4) | (4) | (4) | Class A common stock, par value $0.01 | 714327 (2) | (4) | I | Pzena Investment Management, LP (3) |
Class A common stock Option (5) | (6) | 12/21/2019 | Class A common stock, par value $0.01 | 235000 | $8.00 | D | |
Class B Unit Option (7) | 12/20/2012 | 12/20/2020 | Class B Units (4) | 5617 | $7.58 | D | |
Class B Unit Option (8) | 12/21/2013 | 12/21/2021 | Class B Units (4) | 11115 | $4.77 | D | |
Phantom Class B Units (9) | (9) | (9) | Class B Units (4) | 207793 (9) | (9) | D | |
Phantom Class B Units (10) | (10) | (10) | Class B Units (4) | 29413 (10) | (10) | D | |
Class B Unit Option (11) | 1/1/2022 | 1/1/2027 | Class B Units (4) | 200000 | $13.89 | D | |
Delayed Exchange Class B Unit Option (12) | 1/1/2022 | 1/1/2027 | Class B Units (4) | 300000 | $7.11 | D | |
Delayed Exchange Class B Unit Option (13) | 1/18/2018 | 1/1/2028 | Class B Units (4) | 50000 | $7.04 | D | |
Delayed Exchange Class B Unit Option (14) | 1/1/2019 | 1/1/2029 | Class B Units (4) | 78740 | $5.97 | D |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Cai Chenyu Caroline
PZENA INVESTMENT MANAGEMENT, INC. 320 PARK AVENUE, 8TH FLOOR NEW YORK, NY 10022 |
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Executive Vice President |
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Signatures
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Joan F. Berger, as attorney-in-fact for Chenyu Caroline Cai | 2/15/2019 | |
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Pzena Investment Managem... Chart |
1 Month Pzena Investment Managem... Chart |
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