SEC Form 4 · accession 0001611702-19-000021
BrightSphere Investment Group plc · BSIG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel K. Mahoney
Officer — Head of Finance/PAO
Period of report
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 4:30 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 sharesF2 | Feb 19, 2019 | S | 285 | $13.82 | D | 8,626 | D | |
| Ordinary sharesF2 | Feb 19, 2019 | S | 1 | $13.85 | D | 8,625 | D | |
| Ordinary sharesF2 | Feb 19, 2019 | S | 243 | $13.83 | D | 8,382 | 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, 2019 | A | 6,850 | A | — | — | Ordinary shares | 6,850 | 6,850 | 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 BrightSphere Investment Group plc.
- F4Consists of restricted share units issued under the BrightSphere Investment Group plc 2017 Equity Incentive Plan.
- F5The restricted share units vest in equal annual installments over a three-year period with 1/3 of the restricted share units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.