SEC Form 4 · accession 0001611702-18-000059
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Joseph Ritchie
Director
Period of report
May 18, 2018
Accepted (ET)
May 21, 2018 · 4:49 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 shares | May 18, 2018 | M | 12,421 | $0.00 | A | 79,928 | D | |
| Ordinary sharesF2,F3 | May 21, 2018 | S | 1,041 | $15.6574 | D | 78,887 | 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 UnitsF4,F5 | — | May 18, 2018 | M | 12,421 | D | — | — | Ordinary shares | 12,421 | 0 | 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.6301 to $15.69, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group plc, any security holder of BrightSphere Investment Group 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 (3) to this Form 4.
- F4Each restricted share unit represents a right to receive one ordinary share of BrightSphere Investment Group plc.
- F5On May 18, 2017, the reporting person was granted 12,421 restricted share units, vesting fully on May 18, 2018.