SEC Form 4 · accession 0001209191-17-016767
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, 2017
Accepted (ET)
Mar 2, 2017 · 5:04 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 | 29,022 | $0.00 | A | 191,489 | D | |
| Common Shares | Feb 28, 2017 | A | 8,958 | $0.00 | A | 200,447 | D | |
| Common Shares | Feb 28, 2017 | M | 18,186 | $0.00 | A | 218,633 | D | |
| Common Shares | Feb 28, 2017 | A | 11,050 | $0.00 | A | 229,683 | D | |
| Common Shares | Feb 28, 2017 | M | 25,922 | $0.00 | A | 255,605 | D | |
| Common Shares | Feb 28, 2017 | F | 49,860 | $32.19 | D | 205,745 | 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 | 29,022 | D | — | — | Common Shares | 29,022 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 18,186 | D | — | — | Common Shares | 18,186 | 36,373 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | M | 25,922 | D | — | — | Common Shares | 25,922 | 77,767 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2017 | A | 58,154 | A | — | — | Common Shares | 58,154 | 58,154 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Feb 28, 2017 | A | 19,384 | A | — | — | Common Shares | 19,384 | 19,384 | 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 annual installments and expire upon the employee's termination of employment.
- F3The Restricted Stock Units vest in one installment on the fourth anniversay of the date of grant and expire upon the employee's termination of employment.