SEC Form 4 · accession 0001104659-18-069665
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
HNA Group Co., Ltd.
10% Owner
HNA Capital (U.S.) Holding LLC
10% Owner
HNA Eagle Holdco LLC
10% Owner
HNA Capital Group Co., Ltd.
10% Owner
Aleron Investments, Ltd.
10% Owner
Period of report
Nov 19, 2018
Accepted (ET)
Nov 23, 2018 · 6:11 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001611702
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares, par value $0.001 per shareF1,F2 | Nov 19, 2018 | S | 4,598,566 | $12.80 | D | 22,776,663 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The ordinary shares of BrightSphere Investment Group plc (the "Issuer"), par value $0.001 per share (the "Ordinary Shares"), were sold to Paulson & Co., Inc. ("Paulson") pursuant to a share purchase agreement, dated as of November 16, 2018.
- F2The Ordinary Shares reported herein are directly owned by HNA Eagle Holdco LLC ("HNA Eagle") and indirectly owned by HNA Group Co., Ltd. ("HNA Group"), HNA Capital Group Co., Ltd. ("HNA Parent"), HNA Capital (Hong Kong) Holding Co., Ltd. ("HNA HK"), Aleron Investments, Ltd. ("Aleron") and HNA Capital (U.S.) Holding LLC ("HNA Capital", together with HNA Eagle, HNA Group, HNA HK, and Aleron, the "Reporting Persons"). HNA Eagle is a direct wholly-owned subsidiary of HNA Capital. HNA Capital is a direct wholly-owned subsidiary of Aleron. Aleron is a wholly-owned subsidiary of HNA HK. HNA HK is a wholly-owned subsidiary of HNA Parent. HNA Parent is 88.5% owned by HNA Group. The Reporting Persons disclaim beneficial ownership over the Ordinary Shares reported herein except to the extent of their respective pecuniary interest therein.