november2012aum.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): December 7, 2012 (November 30, 2012)
 
 
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)
  
 
 
 
120 West 45th Street, New York, New York
   10036
 
  (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 8.01
OTHER EVENTS.
 
On December 7, 2012, Pzena Investment Management, Inc. issued a press release in which it reported its preliminary assets under management as of November 30, 2012. A copy of the press release is attached to this Form 8-K.
 
ITEM 9.01
FINANCIAL STATEMENTS AND EXHIBITS.
 
 
 
99.1 Press release, dated December 7, 2012, 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: December 7, 2012
By:
/s/Gary J. Bachman
  
   
Name: Gary J. Bachman
  
   
Title: Chief Financial Officer
  
       


 
 

 
 
 
 
EXHIBIT INDEX

Exhibit No.
Document
99.1
Press release, dated December 7, 2012, of Pzena Investment Management, Inc. reporting preliminary assets under management as of November 30, 2012.