SEC Form 4 · accession 0001209191-19-015724
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, 2019
Accepted (ET)
Mar 4, 2019 · 4:58 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 | 18,186 | $0.00 | A | 255,571 | D | |
| Common Shares | Feb 28, 2019 | A | 11,050 | $0.00 | A | 266,621 | D | |
| Common Shares | Feb 28, 2019 | M | 19,385 | $0.00 | A | 286,006 | D | |
| Common Shares | Feb 28, 2019 | M | 16,645 | $0.00 | A | 302,651 | D | |
| Common Shares | Feb 28, 2019 | F | 32,927 | $19.35 | D | 269,724 | 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 | 18,186 | D | — | — | Common Shares | 18,186 | 0 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | M | 19,385 | D | — | — | Common Shares | 19,385 | 19,385 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | M | 16,645 | D | — | — | Common Shares | 16,645 | 32,292 | D |
| Restricted Stock UnitsF1,F2 | $0.00 | Feb 28, 2019 | A | 83,013 | A | — | — | Common Shares | 83,013 | 83,013 | D |
| Restricted Stock UnitsF1,F3 | $0.00 | Feb 28, 2019 | A | 27,671 | A | — | — | Common Shares | 27,671 | 27,671 | 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.