SEC Form 4 · accession 0001611702-16-000095
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Joseph Ritchie
Director
Period of report
Mar 6, 2016
Accepted (ET)
Mar 8, 2016 · 6:41 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 sharesF1 | Mar 6, 2016 | M | 3,778 | $0.00 | A | 7,278 | D | |
| Ordinary sharesF3,F4 | Mar 7, 2016 | S | 100 | $12.0035 | D | 7,178 | D | |
| Ordinary sharesF3,F5 | Mar 8, 2016 | S | 53 | $11.6047 | D | 7,125 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF6,F7,F8 | — | Mar 6, 2016 | M | 3,778 | D | — | — | Ordinary shares | 3,778 | 24,772 | D |
Explanation of responses
- F1Restricted share units convert into ordinary shares on a one-for-one basis.
- F2The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F3Represents shares sold by the reporting person to cover certain tax withholding obligations upon the vesting of restricted shares.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.81 to $12.15, inclusive. The reporting person undertakes to provide to OM Asset Management plc, any security holder of OM Asset Management plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4) and (5) to this Form 4.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.40 to $11.84, inclusive.
- F6Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc.
- F7Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan.
- F8On March 6, 2015, the reporting person was granted 11,332 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date.