SEC Form 4 · accession 0001209191-16-103929
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, 2016
Accepted (ET)
Mar 1, 2016 · 4:13 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, 2016 | M | 17,002 | $0.00 | A | 339,446 | D | |
| Common Shares | Feb 28, 2016 | A | 5,259 | $0.00 | A | 344,705 | D | |
| Common Shares | Feb 28, 2016 | M | 15,554 | $0.00 | A | 360,259 | D | |
| Common Shares | Feb 28, 2016 | A | 4,899 | $0.00 | A | 365,158 | D | |
| Common Shares | Feb 28, 2016 | M | 14,577 | $0.00 | A | 379,735 | D | |
| Common Shares | Feb 28, 2016 | A | 4,592 | $0.00 | A | 384,327 | D | |
| Common Shares | Feb 28, 2016 | M | 10,448 | $0.00 | A | 394,775 | D | |
| Common Shares | Feb 28, 2016 | A | 6,828 | $0.00 | A | 401,603 | 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, 2016 | M | 17,002 | D | — | — | Common Shares | 17,002 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | M | 15,554 | D | — | — | Common Shares | 15,554 | 15,554 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | M | 14,577 | D | — | — | Common Shares | 14,577 | 29,155 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | M | 10,448 | D | — | — | Common Shares | 10,448 | 31,344 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | A | 62,103 | A | — | — | Common Shares | 62,103 | 62,103 | 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.