SEC Form 4 · accession 0001611702-17-000024
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kyle P Legg
Director
Period of report
Mar 6, 2017
Accepted (ET)
Mar 8, 2017 · 6:32 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 | Mar 6, 2017 | M | 2,361 | $0.00 | A | 20,691 | D | |
| Ordinary sharesF1 | Mar 7, 2017 | S | 25 | $14.78 | D | 20,666 | D | |
| Ordinary sharesF1 | Mar 7, 2017 | S | 1 | $14.7922 | D | 20,665 | 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 UnitsF2,F3,F4 | — | Mar 6, 2017 | M | 2,361 | D | — | — | Ordinary shares | 2,361 | 4,565 | D |
Explanation of responses
- F1Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
- F2Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc.
- F3Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan.
- F4On March 6, 2015, the reporting person was granted 7,083 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date.