SEC Form 4 · accession 0001209191-18-015647
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, 2018
Accepted (ET)
Mar 2, 2018 · 4:26 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 | 24,453 | $0.00 | A | 184,261 | D | |
| Common Shares | Feb 28, 2018 | A | 7,215 | $0.00 | A | 191,476 | D | |
| Common Shares | Feb 28, 2018 | M | 25,922 | $0.00 | A | 217,398 | D | |
| Common Shares | Feb 28, 2018 | A | 31,549 | $0.00 | A | 248,947 | D | |
| Common Shares | Feb 28, 2018 | M | 19,384 | $0.00 | A | 268,331 | D | |
| Common Shares | Feb 28, 2018 | F | 58,096 | $32.54 | D | 210,235 | 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 | 24,453 | D | — | — | Common Shares | 24,453 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | M | 25,922 | D | — | — | Common Shares | 25,922 | 25,923 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | M | 19,384 | D | — | — | Common Shares | 19,384 | 38,770 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2018 | A | 49,937 | A | — | — | Common Shares | 49,937 | 49,937 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Feb 28, 2018 | A | 16,646 | A | — | — | Common Shares | 16,646 | 16,646 | 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.