Date of Report (Date of earliest event reported): April 6, 2023
Artisan Partners Asset Management Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-35826
45-0969585
(State or other jurisdiction of incorporation or organization)
(Commission file number)
(I.R.S. Employer Identification No.)
875 E. Wisconsin Avenue, Suite 800
Milwaukee, WI53202
(Address of principal executive offices and zip code)
(414) 390-6100
(Registrant’s telephone number, including area code)
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:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol
Name of each exchange on which registered
Class A common stock, par value $0.01 per share
APAM
New York Stock Exchange
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
On April 6, 2023, Sarah A. Johnson, Executive Vice President, Chief Legal Officer and Secretary of Artisan Partners Asset Management Inc. (the “Company”), provided notice of her intention to retire effective March 1, 2024. Laura E. Simpson, general counsel of Artisan Partners, will transition into the role of Executive Vice President, Chief Legal Officer and Corporate Secretary. We expect Ms. Simpson’s appointment to take place in the fourth quarter of 2023.
Item 8.01 Other Events
On April 12, 2023, Artisan Partners Asset Management Inc. (the “Company”) issued a press release reporting certain information about the Company’s preliminary assets under management as of March 31, 2023. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
The information in this Item 8.01, including the exhibit incorporated herein by reference, shall be deemed “filed” for purposes of the Securities Exchange Act of 1934, as amended, and shall be deemed incorporated by reference in the Company’s filings under the Securities Act of 1933, as amended.
Cover Page Interactive Data File (embedded within the Inline XBRL document)
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.
Artisan Partners Asset Management Inc.
Date: April 12, 2023
By:
/s/ Charles J. Daley, Jr.
Name:
Charles J. Daley, Jr.
Title:
Executive Vice President, Chief Financial Officer and Treasurer