SEC Form 4 · accession 0001611702-17-000044
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter L Bain
Officer — Chief Executive Officer · Director
Period of report
Apr 10, 2017
Accepted (ET)
Apr 12, 2017 · 5:47 pm EDT
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 | Apr 10, 2017 | S | 66,210 | $15.0167 | D | 922,357 | D | |
| Ordinary sharesF2,F4 | Apr 10, 2017 | S | 9,000 | $15.0097 | D | 913,357 | D | |
| Ordinary sharesF2,F5 | Apr 11, 2017 | S | 49,589 | $14.9606 | D | 863,768 | D | |
| Ordinary sharesF2,F6 | Apr 11, 2017 | S | 8,038 | $14.9548 | D | 855,730 | D | |
| Ordinary sharesF2 | Apr 12, 2017 | S | 190 | $14.9501 | D | 855,540 | D | |
| Ordinary sharesF2,F7 | Apr 12, 2017 | S | 1,224 | $14.9245 | D | 854,316 | 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 $14.82 to $15.20, 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), (4), (5), (6) and (7) 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 $14.90 to $15.14, 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), (4), (5), (6) and (7) 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 $14.69 to $15.105, 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), (4), (5), (6) and (7) to this Form 4.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.71 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), (4), (5), (6) and (7) to this Form 4.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.82 to $14.96, 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), (4), (5), (6) and (7) to this Form 4.