SEC Form 4 · accession 0001209191-15-021778
Invesco Ltd. · IVZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Tak Shing Lo
Officer — Senior Managing Director
Period of report
Feb 28, 2015
Accepted (ET)
Mar 3, 2015 · 6:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000914208
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | Feb 28, 2015 | M | 20,702 | $0.00 | A | 260,563 | D | |
| Common Shares | Feb 28, 2015 | M | 17,002 | $0.00 | A | 277,565 | D | |
| Common Shares | Feb 28, 2015 | A | 5,258 | $0.00 | A | 282,823 | D | |
| Common Shares | Feb 28, 2015 | M | 15,554 | $0.00 | A | 298,377 | D | |
| Common Shares | Feb 28, 2015 | A | 4,899 | $0.00 | A | 303,276 | D | |
| Common Shares | Feb 28, 2015 | M | 14,577 | $0.00 | A | 317,853 | D | |
| Common Shares | Feb 28, 2015 | A | 4,591 | $0.00 | A | 322,444 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | M | 20,702 | D | — | — | Common Shares | 20,702 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | M | 17,002 | D | — | — | Common Shares | 17,002 | 17,002 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | M | 15,554 | D | — | — | Common Shares | 15,554 | 31,108 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | M | 14,577 | D | — | — | Common Shares | 14,577 | 43,732 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2015 | A | 41,792 | A | — | — | Common Shares | 41,792 | 41,792 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents a contingent right to receive one Common Share of Invesco Ltd.
- F2The Restricted Stock Units vest in four equal annual installments and expire upon the employee's termination of employment.