SEC Form 4 · accession 0001104659-19-010392
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
Feb 21, 2019
Accepted (ET)
Feb 25, 2019 · 6:36 pm 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,F3 | Feb 21, 2019 | S | 4,100,000 | $13.89 | D | 18,676,663 | D | |
| Ordinary Shares, par value $0.001 per shareF1,F3 | Feb 25, 2019 | S | 3,886,625 | $13.95 | D | 14,790,038 | D | |
| Ordinary Shares, par value $0.001 per shareF2,F3 | Feb 25, 2019 | S | 14,790,038 | $13.95 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1HNA Eagle Holdco LLC ("HNA Eagle") resold the Ordinary Shares to BrightSphere Investment Group plc (the "Issuer") as part of the Issuer's share repurchase program, via Citigroup Global Markets Inc. ("Citigroup"). HNA Eagle sold the Ordinary Shares to Citigroup, who then resold them immediately to the Issuer.
- F2HNA Eagle sold the Ordinary Shares to Paulson & Co., Inc. ("Paulson") pursuant to the share purchase agreement, dated November 16, 2018, between HNA Eagle and Paulson.
- F3The Ordinary Shares reported herein were directly owned by 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.