SEC Form 4 · accession 0001611702-18-000017
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 15, 2018
Accepted (ET)
Feb 16, 2018 · 4:27 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 15, 2018 | A | 2,874 | $0.00 | A | 10,051 | D | |
| Ordinary sharesF3 | Feb 16, 2018 | S | 240 | $15.87 | D | 9,811 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists 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, 2019, February 15, 2020 and February 15, 2021.
- 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.