SEC Form 4 · accession 0001209191-18-015603
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, 2018
Accepted (ET)
Mar 2, 2018 · 4:16 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, 2018 | M | 14,578 | $0.00 | A | 338,605 | D | |
| Common Shares | Feb 28, 2018 | A | 4,592 | $0.00 | A | 343,197 | D | |
| Common Shares | Feb 28, 2018 | M | 10,448 | $0.00 | A | 353,645 | D | |
| Common Shares | Feb 28, 2018 | A | 6,829 | $0.00 | A | 360,474 | D | |
| Common Shares | Feb 28, 2018 | M | 15,526 | $0.00 | A | 376,000 | D | |
| Common Shares | Feb 28, 2018 | A | 20,295 | $0.00 | A | 396,295 | D | |
| Common Shares | Feb 28, 2018 | M | 11,897 | $0.00 | A | 408,192 | 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, 2018 | M | 14,578 | D | — | — | Common Shares | 14,578 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | M | 10,448 | D | — | — | Common Shares | 10,448 | 10,448 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | M | 15,526 | D | — | — | Common Shares | 15,526 | 31,052 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | M | 11,897 | D | — | — | Common Shares | 11,897 | 35,694 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | A | 40,394 | A | — | — | Common Shares | 40,394 | 40,394 | 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.