SEC Form 4 · accession 0001209191-18-020179
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
Mar 12, 2018
Accepted (ET)
Mar 16, 2018 · 4:25 pm EDT
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 | Mar 12, 2018 | G | 299,376 | $0.00 | D | 398,931 | D | |
| Common Shares | Mar 12, 2018 | G | 299,376 | $0.00 | A | 2,496,931 | I | By Trust |
| Common SharesF2 | Mar 14, 2018 | S | 123,484 | $33.62 | D | 2,373,447 | I | By Trust |
| Common SharesF4 | Mar 15, 2018 | S | 299,376 | $32.92 | D | 2,074,071 | I | By Trust |
| Common Shares | holding | — | — | — | 229,550 | I | By GRAT | |
| Common Shares | holding | — | — | — | 661,383 | I | By GRAT | |
| Common Shares | holding | — | — | — | 225,000 | I | By Trust | |
| Common Shares | holding | — | — | — | 400 | I | By spouse | |
| Common Shares | holding | — | — | — | 51,639 | I | By GRAT |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction is a bonafide gift from the reporting person to a trust of which the reporting person is a trustee and beneficiary.
- F2Reflects weighted-average sales price. Common shares were sold in multiple same-way open market sale transactions on the same day through a trade order executed by a broker dealer at prices ranging from $33.40 to $33.96. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person undertakes to provide upon request to the SEC staff, the issuer or its shareowners full information regarding the number of shares sold at each separate price.
- F3This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 11, 2017.
- F4Reflects weighted-average sales price. Common shares were sold in multiple same-way open market sale transactions on the same day through a trade order executed by a broker dealer at prices ranging from $32.71 to $33.37. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person undertakes to provide upon request to the SEC staff, the issuer or its shareowners full information regarding the number of shares sold at each separate price.