SEC Form 4 · accession 0001611702-17-000016
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel K. Mahoney
Officer — CAO/Controller
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 5:58 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 sharesF2,F3 | Feb 13, 2017 | S | 211 | $14.9778 | D | 7,755 | D | |
| Ordinary sharesF2,F4 | Feb 14, 2017 | S | 127 | $14.927 | D | 7,628 | D | |
| Ordinary sharesF5 | Feb 15, 2017 | A | 2,446 | $0.00 | A | 10,074 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
- F3The 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 (3) and (4) to this Form 4.
- F4The 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 (3) and (4) to this Form 4.
- F5Consists of a restricted share award issued under the OM Asset Management plc Equity Incentive Plan. The restricted share award vests in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of February 15, 2018, February 15, 2019 and February 15, 2020.