Form D · Other Investment Fund

PZENA GLOBAL VALUE FUND (GT), a separate investment fund of Pzena Value Group Trust

New York, NY · CIK 0001391853

Offering snapshot reported Mar 1, 2019 · SEC filing

Reported sold: $190M
Investors reported: 5
Minimum accepted: $0
First sale: Jul 3, 2006

Fundraising history

Reported sold

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Mar 1, 2019	Amendment	$190,449,443	$0vs Mar 2, 2018	5	SEC filing
Mar 2, 2018	Amendment	$190,449,443	$1,580vs Mar 2, 2017	5	SEC filing
Mar 2, 2017	Amendment	$190,447,863	$0vs Mar 7, 2016	5	SEC filing
Mar 7, 2016	Amendment	$190,447,863	$10,000,000vs Mar 10, 2015	5	SEC filing
Mar 10, 2015	Amendment	$180,447,863	$109,539,341vs Mar 10, 2014	5	SEC filing
Mar 10, 2014	Amendment	$70,908,522	$0vs Mar 6, 2013	4	SEC filing
Mar 6, 2013	Amendment	$70,908,522	$0vs Mar 7, 2012	4	SEC filing
Mar 7, 2012	Amendment	$70,908,522	$1,850,000vs Mar 10, 2011	4	SEC filing
Mar 10, 2011	Amendment	$69,058,522	$24,580,808vs Feb 27, 2009	4	SEC filing
Feb 25, 2010	Amendment	$47,997,863	$3,520,149vs Feb 27, 2009	4	SEC filing
Feb 27, 2009	Amendment	$44,477,714	No comparison	Not reported	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $84K
Finders' fees: $0
Form D file number: 021-100707

Sales compensation recipients

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Recipient	CRD	Associated broker-dealer
Pzena Financial Services, LLC	None	Pzena Financial Services, LLC · CRD 169807

Source: Form D, filed Mar 1, 2019. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

PZENA GLOBAL VALUE FUND (GT), A SEPARATE INVESTMENT FUND OF PZENA VALUE GROUP TRUST

Investment adviser: PZENA INVESTMENT MANAGEMENT LLC

Gross asset value: $145M
Beneficial owners: 1
ADV minimum commitment: $5M

Reported in Form ADV on Mar 29, 2019. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Marketer PZENA FINANCIAL SERVICES, LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

PZENA FINANCIAL SERVICES, LLC
CRD 169807 · SEC 8-69390

Filing source

Form ADV 1273044 · Mar 29, 2019 · Schedule D 7.B.(1), fund 805-9250820412

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Gary J. Bachman	Executive
Chenyu Caroline Cai	Executive
Antonio De Spirito	Executive
John P. Goetz	Executive
A. Rama Krishna	Executive
William L. Lipsey	Executive
Michael Peterson	Executive
Richard S. Pzena	Executive
' Pzena Financial Services, Llc	Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

Pzena Investment Mgmt Llc 320 Park Avenue, 8th Floor
New York, NY, 10022