SEC Form 4 · accession 0001209191-19-015698
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, 2019
Accepted (ET)
Mar 4, 2019 · 4:50 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, 2019 | M | 10,448 | $0.00 | A | 418,640 | D | |
| Common Shares | Feb 28, 2019 | A | 6,829 | $0.00 | A | 425,469 | D | |
| Common Shares | Feb 28, 2019 | M | 15,526 | $0.00 | A | 440,995 | D | |
| Common Shares | Feb 28, 2019 | A | 20,295 | $0.00 | A | 461,290 | D | |
| Common Shares | Feb 28, 2019 | M | 11,898 | $0.00 | A | 473,188 | D | |
| Common Shares | Feb 28, 2019 | M | 10,098 | $0.00 | A | 483,286 | 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, 2019 | M | 10,448 | D | — | — | Common Shares | 10,448 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | M | 15,526 | D | — | — | Common Shares | 15,526 | 15,526 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | M | 11,898 | D | — | — | Common Shares | 11,898 | 23,796 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | M | 10,098 | D | — | — | Common Shares | 10,098 | 30,296 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | A | 70,521 | A | — | — | Common Shares | 70,521 | 70,521 | 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.