SEC Form 4 · accession 0001209191-17-016743
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, 2017
Accepted (ET)
Mar 2, 2017 · 4:56 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, 2017 | M | 15,554 | $0.00 | A | 267,157 | D | |
| Common Shares | Feb 28, 2017 | A | 4,899 | $0.00 | A | 272,056 | D | |
| Common Shares | Feb 28, 2017 | M | 14,577 | $0.00 | A | 286,633 | D | |
| Common Shares | Feb 28, 2017 | A | 4,592 | $0.00 | A | 291,225 | D | |
| Common Shares | Feb 28, 2017 | M | 10,448 | $0.00 | A | 301,673 | D | |
| Common Shares | Feb 28, 2017 | A | 6,829 | $0.00 | A | 308,502 | D | |
| Common Shares | Feb 28, 2017 | M | 15,525 | $0.00 | A | 324,027 | 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, 2017 | M | 15,554 | D | — | — | Common Shares | 15,554 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 14,577 | D | — | — | Common Shares | 14,577 | 14,578 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 10,448 | D | — | — | Common Shares | 10,448 | 20,896 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 15,525 | D | — | — | Common Shares | 15,525 | 46,578 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 47,591 | A | — | — | Common Shares | 47,591 | 47,591 | 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.