SEC Form 4 · accession 0001611702-18-000015
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
James Joseph Ritchie
Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 4:26 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 | Feb 15, 2018 | M | 3,856 | $0.00 | A | 22,228 | D | |
| Ordinary sharesF2 | Feb 16, 2018 | S | 323 | $15.87 | D | 21,905 | 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 UnitsF3,F4,F5 | — | Feb 15, 2018 | M | 3,856 | D | — | — | Ordinary shares | 3,856 | 16,198 | D |
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.
- F3Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc.
- F4Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan.
- F5On February 15, 2017, the reporting person was granted 3,856 restricted share units, vesting fully on the first anniversary of the grant date.