SEC Form 4/A · accession 0001611702-18-000036
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
Stephen Belgrad
Officer — President and CEO · Director
Period of report
Mar 6, 2018
Accepted (ET)
Mar 12, 2018 · 4:14 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 sharesF1 | Mar 6, 2018 | A | 78,668 | $0.00 | A | 317,760 | D | |
| Ordinary sharesF2 | Mar 6, 2018 | A | 20,392 | $0.00 | A | 338,152 | D | |
| Ordinary sharesF4,F5 | Mar 7, 2018 | S | 49,123 | $15.2218 | D | 289,029 | D | |
| Ordinary sharesF4 | Mar 8, 2018 | S | 90 | $15.43 | D | 288,939 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of a one-time grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period.
- F2Consists of an annual grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period.
- 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 $15.09 to $15.43, 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.