SEC Form 4 · accession 0001611702-16-000106
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Rogers
Director
Period of report
Mar 9, 2016
Accepted (ET)
Mar 11, 2016 · 6:15 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,F2 | Mar 9, 2016 | S | 53 | $11.719 | D | 7,227 | D | |
| Ordinary sharesF1,F3 | Mar 10, 2016 | S | 25 | $11.5899 | D | 7,202 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares sold by the reporting person to cover certain tax withholding obligations upon the vesting of restricted shares.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.39 to $11.83, 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 (2) and (3) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.455 to $11.82, inclusive.