SEC Form 4 · accession 0001611702-18-000020
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Belgrad
Officer — EVP/CFO · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 4:28 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 | 39,663 | $0.00 | A | 232,912 | D | |
| Ordinary sharesF2 | Feb 15, 2018 | A | 11,180 | $0.00 | A | 244,092 | D | |
| Ordinary sharesF4,F5 | Feb 16, 2018 | S | 5,000 | $15.87 | D | 239,092 | 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.
- F2Consists 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. The restricted share award represents the time-vested portion of a one-time grant of shares in connection with appointment as CEO.
- F3The 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.
- F4Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.77 to $15.94, 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 footnote (5) to this Form 4.