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IPO registrations (S-1, F-1) · Registrants

Pzena Investment Management, Inc.

SEC CIK
1399249 · filings on EDGAR ↗
Registration
Form S-1, first filed 2007-06-11, last 2007-10-23; 1 initial registration, 5 amendments
Outcome
Final prospectus filed 2007-10-26; declared effective 2007-10-24
Industry (SIC)
Investment Advice 6282
Incorporated in
DE
Business address
320 PARK AVENUE, 8TH FLOOR, New York, NY 10022
EIN
20-8999751
EDGAR entity type
operating
Insiders and CEO pay
Pzena Investment Management, Inc. on the corporate pages

Offering terms

Proposed price range
$16.00–$18.00 per share (S-1/A filed 2007-10-22)
Shares offered
6,100,000
Listing
NYSE under the symbol PZN
Lead underwriters
UBS
Syndicate
BofA Securities; J.P. Morgan; KBW; Goldman Sachs

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 9

FiledFormWhat it isName as filedEDGAR
2007-06-11S-1S-1 (registration)Pzena Investment Management, Inc.0000950123-07-008519 ↗
2007-07-10S-1/AS-1/A (amendment)Pzena Investment Management, Inc.0000950123-07-009747 ↗
2007-08-06S-1/AS-1/A (amendment)Pzena Investment Management, Inc.0000950123-07-010879 ↗
2007-10-10S-1/AS-1/A (amendment)Pzena Investment Management, Inc.0000950123-07-013642 ↗
2007-10-22S-1/AS-1/A (amendment)Pzena Investment Management, Inc.0000950123-07-014055 ↗
2007-10-23S-1/AS-1/A (amendment)Pzena Investment Management, Inc.0000950123-07-014132 ↗
2007-10-24EFFECTEFFECT (declared effective)Pzena Investment Management, Inc.9999999995-07-004200 ↗
2007-10-26424B4424B4 (final prospectus)Pzena Investment Management, Inc.0000950123-07-014340 ↗
2009-02-17EFFECTEFFECT (declared effective)Pzena Investment Management, Inc.9999999995-09-000422 ↗

Prospectus pages read 3

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2007-10-22S-1/Aregistration statement$16.00–$18.006,100,000-NYSE PZN0primary document; range, shares headlinedocument ↗
2007-10-23S-1/Aregistration statement--0primary document; no terms founddocument ↗
2007-10-26424B4final prospectus6,100,000-NYSE PZN5primary document; shares headline, cover names 5document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Galbraith Steven MDirector212007–2022
Goetz John PaulDirector,Officer; OfficerPresident and Co-CIO; President & Co-CIO; President, Co-CIO202007–2022
GREENBLATT JOELDirector202007–2022
Krishna A. RamaOfficerPresident, International62007–2013
Lipsey William LouisDirector,Officer; OfficerPres., Marketing/Client Serv.; Pres, Marketing/Client Srvc202007–2022
Meyerowich Richard P.Director202007–2022
PALLADINO WAYNEOfficerCFO; Chief Financial Officer62007–2009
Pzena Richard StantonDirector,Officer; Officer,TenPercentOwnerChairman, CEO and Co-CIO232007–2022
ULLMAN MYRON E IIIDirector42007–2008
FOURNIER ALANTenPercentOwner32008
PENNANT CAPITAL MANAGEMENT LLCTenPercentOwner32008
TYSOE RONALD WDirector72008–2014
Martin Gregory SOfficerChief Financial Officer52009–2013
DeSpirito AntonioOfficerExecutive Vice President; Executive VP102011–2015
Peterson Michael DOfficerExecutive Vice President162011–2017
Bachman Gary JOfficerChief Financial Officer; Chief Operating Officer72012–2019
JOHNSTON CHARLES DDirector152014–2022person page Fuzzy
Doran Jessica ROfficerChief Financial Officer82016–2022
Cai Chenyu CarolineDirector,Officer; OfficerExecutive Vice President192019–2022
Fire Evan K.OfficerChief Info. & Ops Officer; Chief Operating Officer72019–2022
Jeffries Shavar DakelDirector42021–2022
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.TenPercentOwner12022
Punch Howard D. JRTenPercentOwner12022

Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.

Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.

Also on this site Fuzzy

RecordName as filedWhereDatasetMatched by
Investment adviserCEDRUS PARK MANAGEMENT LPNYInvestment advisers (Form ADV)same street address and ZIP code, 320 PARK AVE 8TH FL 10022 (FUZZY: a shared address, not proof of a shared organization)
Investment adviserPZENA INVESTMENT MANAGEMENT LLCNYInvestment advisers (Form ADV)name and state
Business registrationPZENA INVESTMENT MANAGEMENT, LLCNYState business registriesname and state
Business registrationPZENA INVESTMENT MANAGEMENT, LLCNYState business registriesname and state
ContractorPZENA INVESTMENT MANAGEMENT LLCNYNonprofit contractors (Form 990)name and state
Plan sponsorPZENA INVESTMENT MANAGEMENT, LLCNYForm 5500 (employee benefit plans)name and state
SEC filerPzena Investment Management, Inc.SEC filers (EDGAR)CIK (EXACT)
Trademark ownerPzena Investment Management, LLCNYTrademarks (USPTO)name and state
Person pageCharles D JohnstonPeople (Form 990 officers, directors and employees)officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director)

Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.

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Interests: Investment Advice · Finance