SEC Form 4 · accession 0001209191-16-103947
Invesco Ltd. · IVZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Taylor
Officer — Senior Managing Director
Period of report
Feb 28, 2016
Accepted (ET)
Mar 1, 2016 · 4:20 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 | 31,149 | $0.00 | A | 271,174 | D | |
| Common Shares | Feb 28, 2016 | M | 9,615 | $0.00 | A | 280,789 | D | |
| Common Shares | Feb 28, 2016 | M | 24,453 | $0.00 | A | 305,242 | D | |
| Common Shares | Feb 28, 2016 | A | 7,216 | $0.00 | A | 312,458 | D | |
| Common Shares | Feb 28, 2016 | M | 18,186 | $0.00 | A | 330,644 | D | |
| Common Shares | Feb 28, 2016 | A | 11,050 | $0.00 | A | 341,694 | D | |
| Common Shares | Feb 28, 2016 | F | 54,426 | $27.10 | D | 287,268 | 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 | 31,149 | D | — | — | Common Shares | 31,149 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | M | 24,453 | D | — | — | Common Shares | 24,453 | 48,907 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | M | 18,186 | D | — | — | Common Shares | 18,186 | 55,174 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2016 | A | 77,767 | A | — | — | Common Shares | 77,767 | 77,767 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Feb 28, 2016 | A | 25,922 | A | — | — | Common Shares | 25,922 | 25,922 | 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 three equal installments and expire upon the employee's termination of employment.
- F3The Restricted Stock Units vest in one installment on the fourth anniversary of the date of grant and expire upon the employee's termination of employment.