SEC Form 5 · accession 0001209191-17-010577
Invesco Ltd. · IVZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin L Flanagan
Officer — President & CEO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 5:38 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 SharesF1 | Aug 2, 2016 | G | 2,257,056 | $0.00 | D | 0 | I | By Trust |
| Common Shares | Aug 2, 2016 | G | 1,771,596 | $0.00 | A | 1,771,596 | I | By Trust |
| Common Shares | Aug 2, 2016 | G | 225,000 | $0.00 | A | 225,000 | I | By Trust |
| Common Shares | Aug 2, 2016 | G | 260,460 | $0.00 | A | 754,856 | D | |
| Common Shares | Aug 3, 2016 | G | 260,460 | $0.00 | D | 494,396 | D | |
| Common Shares | Aug 3, 2016 | G | 260,460 | $0.00 | A | 260,460 | I | By GRAT |
| Common Shares | Aug 22, 2016 | G | 53,385 | $0.00 | D | 752,850 | I | By GRAT |
| Common Shares | Aug 22, 2016 | G | 53,385 | $0.00 | A | 547,781 | D | |
| Common Shares | Aug 25, 2016 | G | 53,385 | $0.00 | D | 494,396 | D | |
| Common Shares | Aug 25, 2016 | G | 53,385 | $0.00 | A | 1,824,981 | I | By Trust |
| Common Shares | Aug 24, 2016 | G | 87 | $0.00 | D | 752,763 | I | By GRAT |
| Common Shares | Aug 24, 2016 | G | 87 | $0.00 | A | 494,483 | D | |
| Common Shares | Aug 25, 2016 | G | 87 | $0.00 | D | 494,396 | D | |
| Common Shares | Aug 25, 2016 | G | 87 | $0.00 | A | 1,825,068 | I | By Trust |
| Common Shares | Dec 20, 2016 | G | 33,750 | $0.00 | D | 91,235 | I | By GRAT |
| Common Shares | Dec 20, 2016 | G | 33,750 | $0.00 | A | 528,146 | D | |
| Common Shares | Dec 21, 2016 | G | 33,750 | $0.00 | D | 494,396 | D | |
| Common Shares | Dec 21, 2016 | G | 33,750 | $0.00 | A | 1,858,818 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 5 reports (i) a bona fide gift by the reporting person from a trust of which the reporting person is a trustee into (a) two newly established trusts, each of which the reporting person is a trustee, and (b) a newly established Grantor Retained Annuity Trust (GRAT); and (ii) two in-kind annuity distributions from previously established GRATs.