Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MORGAN STANLEYMS · Entity 2815 | Head of Morgan Stanley SB | January 21, 2010 | January 22, 2010 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MORGAN STANLEY
Report date January 21, 2010 · Filed January 22, 2010
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 137,436 |
Reported balance
After 2010-01-21 transaction · row 1
1 source rowRow 1 · 2010-01-21 · Grant · Acquired 50,503 · Balance 137,436 F1: This amount reflects Restricted Stock Units granted as part of 2009 year-end compensation and convertible into shares of Common Stock at a ratio of 1 to 1. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 94.844 |
Reported balance
Holding disclosure · report date 2010-01-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 94.844 |
Filing footnotes · ownership attribution and instrument terms
F1: This amount reflects Restricted Stock Units granted as part of 2009 year-end compensation and convertible into shares of Common Stock at a ratio of 1 to 1.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Pzena Investment Management, Inc.
Report date October 31, 2022 · Filed November 02, 2022
Section 16 reporting ended · disclosed 2022-11-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common stock, par value $0.01SEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-10-31 transaction · row 1
1 source rowRow 1 · 2022-10-31 · Other · Disposed 69,530 · Balance 0 |
| Phantom Class A SharesSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2022-10-31 | Direct | 0 |
Reported balance
After 2022-10-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-10-31 · Other · Disposed 67,509 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 31, 2022 Filed Nov 2, 2022 17:47 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | OtherPhantom Class A Shares · Derivative | 67,509 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-019076 · doc1.xml · derivative · entry 2 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Right to Receive $9.60 · 67,509 shares Expires 2022-10-31 Read SEC document |
| October 31, 2022 Filed Nov 2, 2022 17:47 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | OtherClass A Common stock, par value $0.01 | 69,530 | $9.60 | $667,488.00 |
DisclosureSEC source: 0001567619-22-019076 · doc1.xml · nonDerivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| January 01, 2022 Filed Jan 4, 2022 16:43 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | Exercise / conversionPhantom Class A common stock · Derivative | 28,460 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-22-000262 · doc1.xml · derivative · entry 3 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,403 Underlying: Class A common stock, par value $0.01 · 28,460 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F1 · kind: Distribution of deferred compensation pursuant to the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009) (the "Director Deferred Compensation Plan"). F2 · price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F4 · balance_after: Includes an aggregate of 2,755 shares of Phantom Stock issued in-kind as dividend payment in 2021. Read SEC document |
| January 01, 2022 Filed Jan 4, 2022 16:43 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 10,559 | $9.47 | $99,993.73 |
DisclosureSEC source: 0001567619-22-000262 · doc1.xml · derivative · entry 2 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,863 Underlying: Class A common stock, par value $0.01 · 10,559 shares Expires not disclosed F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F3 · derivative.exercise_price: Issued in connection with the Reporting Person's 2022 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2021. F3 · price: Issued in connection with the Reporting Person's 2022 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2021. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F4 · balance_after: Includes an aggregate of 2,755 shares of Phantom Stock issued in-kind as dividend payment in 2021. Read SEC document |
| January 01, 2022 Filed Jan 4, 2022 16:43 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | Exercise / conversionClass A Common stock, par value $0.01 | 28,460 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-22-000262 · doc1.xml · nonDerivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,530 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Distribution of deferred compensation pursuant to the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009) (the "Director Deferred Compensation Plan"). Read SEC document |
| January 01, 2021 Filed Jan 5, 2021 20:22 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | Exercise / conversionPhantom Class A common stock · Derivative | 11,070 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-000391 · doc1.xml · derivative · entry 3 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,549 Underlying: Class A common stock, par value $0.01 · 11,070 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F1 · kind: Distribution of deferred compensation pursuant to the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009) (the "Director Deferred Compensation Plan"). F3 · price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F3 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F3 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. Read SEC document |
| January 01, 2021 Filed Jan 5, 2021 20:22 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 13,698 | $7.30 | $99,995.40 |
DisclosureSEC source: 0001567619-21-000391 · doc1.xml · derivative · entry 2 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,619 Underlying: Class A common stock, par value $0.01 · 13,698 shares Expires not disclosed F2 · derivative.exercise_price: Issued in connection with the Reporting Person's 2021 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2020. F3 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent of one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Director Deferred Compensation Plan. F2 · derivative.exercise_date: Issued in connection with the Reporting Person's 2021 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2020. F2 · derivative.expiration_date: Issued in connection with the Reporting Person's 2021 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2020. F4 · balance_after: Includes an aggregate of 5,477 share of Phantom Stock issued in-kind as dividend payment in 2020. Read SEC document |
| January 01, 2021 Filed Jan 5, 2021 20:22 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | Exercise / conversionClass A Common stock, par value $0.01 | 11,070 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-000391 · doc1.xml · nonDerivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,070 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Distribution of deferred compensation pursuant to the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009) (the "Director Deferred Compensation Plan"). Read SEC document |
| October 21, 2020 Filed Oct 22, 2020 17:37 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 9,433 | $5.30 | $49,994.90 |
DisclosureSEC source: 0001567619-20-018114 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,564 Underlying: Class A common stock, par value $0.01 · 9,433 shares Expires not disclosed F1 · derivative.exercise_price: Issued in connection with the Reporting Person's 2020 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, in each case, prorated to compensate for the third and fourth quarter of 2020 (such prorated amounts being $47,500 and $2,500 respectively), both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on October 21,2020, the date of issuance. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Issued in connection with the Reporting Person's 2020 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, in each case, prorated to compensate for the third and fourth quarter of 2020 (such prorated amounts being $47,500 and $2,500 respectively), both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on October 21,2020, the date of issuance. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 822 shares of Phantom Stock issued in-kind as dividend payment from March 1, 2020 to date. Read SEC document |
| April 06, 2020 Filed Apr 7, 2020 16:16 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | Disposition to issuerPhantom Class A common stock · Derivative | 11,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-007648 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,309 Underlying: Class A common stock, par value $0.01 · 11,600 shares Expires not disclosed F1 · derivative.exercise_price: Disposition of Phantom Class A common stock associated with the Reporting Person's waiver of his 2020 non-employee director annual retainer. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Disposition of Phantom Class A common stock associated with the Reporting Person's waiver of his 2020 non-employee director annual retainer. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 4,298 share of Phantom Stock issued in-kind as dividend payment in 2020. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 18:18 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 11,600 | $8.62 | $99,992.00 |
DisclosureSEC source: 0001567619-20-000420 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,611 Underlying: Class A common stock, par value $0.01 · 11,600 shares Expires not disclosed F1 · derivative.exercise_price: Issued in connection with the Reporting Person's 2020 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2019. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Issued in connection with the Reporting Person's 2020 non-employee director annual retainer in the amount of $95,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2019. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 3,472 share of Phantom Stock issued in-kind as dividend payment in 2019. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 18:11 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 10,404 | $8.65 | $89,994.60 |
DisclosureSEC source: 0001567619-19-000396 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,539 Underlying: Class A common stock, par value $0.01 · 10,404 shares Expires not disclosed F1 · derivative.exercise_price: Issued in connection with the Reporting Person's 2019 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2018. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Issued in connection with the Reporting Person's 2019 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 31, 2018. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 2,161 share of Phantom Stock issued in-kind as dividend payment. Read SEC document |
| January 01, 2018 Filed Jan 3, 2018 16:40 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 8,434 | $10.67 | $89,990.78 |
DisclosureSEC source: 0001140361-18-000474 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,974 Underlying: Class A common stock, par value $0.01 · 8,434 shares Expires not disclosed F1 · derivative.exercise_price: Issued in connection with the Reporting Person's 2018 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating and Corporate Governance Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 29, 2017. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Issued in connection with the Reporting Person's 2018 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating and Corporate Governance Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 29, 2017. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 1,348 shares of Phantom Stock issued in-kind as dividend payment in 2017. Read SEC document |
| May 23, 2017 Filed May 26, 2017 16:37 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | PurchaseClass A common stock, par value $0.01 | 10,000 | $8.43 | $84,300.00 |
DisclosureSEC source: 0001140361-17-022568 · doc1.xml · nonDerivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.42 to $8.47, inclusive. The reporting person undertakes to provide to Pzena Investment Management, Inc., any security holder of Pzena Investment Management, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote 1 to this Form 4. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 17:08 UTC | Pzena Investment Management, Inc. PZN · Entity 122669 | GrantPhantom Class A common stock · Derivative | 8,100 | $11.11 | $89,991.00 |
DisclosureSEC source: 0001140361-17-000469 · doc1.xml · derivative · entry 1 JOHNSTON CHARLES D · CIK 0001479664 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,192 Underlying: Class A common stock, par value $0.01 · 8,100 shares Expires not disclosed F1 · derivative.exercise_price: Issued in connection with the Reporting Person's 2017 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating and Corporate Governance Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 30, 2016. F2 · derivative.exercise_price: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F1 · price: Issued in connection with the Reporting Person's 2017 non-employee director annual retainer in the amount of $85,000, and $5,000 annual retainer for service as Chairman of the Nominating and Corporate Governance Committee, both of which are payable at the director's option, either 100% in cash, 100% in shares of the Issuer's Class A common stock, or 50% payable in cash and 50% in shares of the Issuer's Class A common stock. All shares of the Issuer's Class A common stock were valued at the closing price on December 30, 2016. F2 · derivative.exercise_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F2 · derivative.expiration_date: Each share of Phantom Class A common stock ("Phantom Stock") is the economic equivalent on one share of the Issuer's Class A common stock ("Common Stock"). The shares of Phantom Stock become payable in a single distribution of shares of Common Stock, at such time as elected by the Reporting Person at the time such deferral was made pursuant to Section 3.4 of the Pzena Investment Management, Inc. Non-Employee Director Deferred Compensation Plan (previously filed as Exhibit 10.1 to the Issuer's quarterly report on Form 10-Q, filed with the Securities and Exchange Commission on November 9, 2009). F3 · balance_after: Includes an aggregate of 1,561 share of Phantom Stock issued in-kind as dividend payment. Read SEC document |
| January 21, 2010 Filed Jan 22, 2010 16:58 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 50,503 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-10-004489 · doc4.xml · nonDerivative · entry 1 Johnston Charles D · CIK 0001479664 · Head of Morgan Stanley SB 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,436 F1 · kind: This amount reflects Restricted Stock Units granted as part of 2009 year-end compensation and convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.