SEC Form 4 · accession 0001611702-17-000007
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Rogers
Director
Period of report
Feb 10, 2017
Accepted (ET)
Feb 14, 2017 · 5:50 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 | Feb 10, 2017 | M | 9,183 | $0.00 | A | 16,385 | D | |
| Ordinary sharesF3,F4 | Feb 13, 2017 | S | 369 | $14.9778 | D | 16,016 | D | |
| Ordinary sharesF3,F5 | Feb 14, 2017 | S | 222 | $14.927 | D | 15,794 | 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 | — | Feb 10, 2017 | M | 9,183 | D | — | — | Ordinary shares | 9,183 | 4,722 | 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 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 $14.88 to $15.10, 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 $14.82 to $15.0401, 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.
- 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 February 10, 2016, the reporting person was granted 9,183 restricted share units, vesting fully on February 10, 2017.