SEC Form 4/A · accession 0001611702-18-000021
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James Joseph Ritchie
Officer — Interim CEO · Director
Period of report
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 4:10 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.