4//SEC Filing
GREENBLATT JOEL 4
Accession 0000929638-22-001644
CIK 0001399249other
Filed
Nov 1, 8:00 PM ET
Accepted
Nov 2, 6:33 PM ET
Size
13.5 KB
Accession
0000929638-22-001644
Insider Transaction Report
Form 4
GREENBLATT JOEL
Director
Transactions
- Disposition from Tender
Class B Common Stock, par value $0.000001
2022-10-31−82,200→ 0 total(indirect: By Children) - Disposition from Tender
Class A Common Stock, par value $0.01
2022-10-31$9.60/sh−22,460$215,616→ 0 total - Disposition from Tender
Phantom A Shares
2022-10-31−187,178→ 0 totalExercise: $0.00From: 2022-10-31Exp: 2022-10-31→ Right to Receive $9.60 (187,178 underlying) - Disposition from Tender
Class B Common Stock, par value $0.000001
2022-10-31−165,508→ 0 total
Holdings
- 82,200(indirect: By Children)
Class B Units
→ None (82,200 underlying) - 165,508
Class B Units
→ None (165,508 underlying)
Footnotes (4)
- [F1]Pursuant to merger agreement between Pzena Investment Management, Inc. (the "Issuer"), Pzena Investment Management, LLC (the "Operating Company") and Panda Merger Sub, LLC (the "Merger Agreement") the Class B Common Stock was canceled at the effective time of the merger for no consideration.
- [F2]Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any such interests, and disclaims beneficial ownership of such interests, except to the extent of his pecuniary interests therein.
- [F3]Represents units of the Operating Company that were reclassified as "Class B Units" of the Operating Company on a one-for-one basis in connection with the amendment and restatement of the Operating Company's operating agreement as of October 30, 2007 (the "Amended Pzena LLC Agreement"), among the Issuer, as the Managing Member of the Operating Company and the holder of certain units of the Operating Company, and the holders of such reclassified units of the Operating Company.
- [F4]Pursuant to the Merger Agreement, the Issuer ceased to exist on October 31, 2022. The securities reported in this row continue to provide ownership in the Operating Company but no longer are derivative securities of the Issuer.
Documents
Issuer
Pzena Investment Management, Inc.
CIK 0001399249
Entity typeother
Related Parties
1- filerCIK 0001279149
Filing Metadata
- Form type
- 4
- Filed
- Nov 1, 8:00 PM ET
- Accepted
- Nov 2, 6:33 PM ET
- Size
- 13.5 KB