Filing Details

Accession Number:
0001611702-16-000093
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-03-08 18:41:18
Reporting Period:
2016-03-06
Filing Date:
2016-03-08
Accepted Time:
2016-03-08 18:41:18
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1611702 Om Asset Management Plc OMAM () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1192225 John Rogers Ground Floor Millennium Bridge House
2 Lambeth Hill
London X0 EC4V 4GG
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Ordinary Shares Acquisiton 2016-03-06 2,361 $0.00 7,361 No 4 M Direct
Ordinary Shares Disposition 2016-03-07 53 $12.00 7,308 No 4 S Direct
Ordinary Shares Disposition 2016-03-08 28 $11.60 7,280 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Ordinary Shares Restricted Share Units Disposition 2016-03-06 2,361 $0.00 2,361 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
13,905 No 4 M Direct
Footnotes
  1. Restricted share units convert into ordinary shares on a one-for-one basis.
  2. Represents shares sold by the reporting person to cover certain tax withholding obligations upon the vesting of restricted shares.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.81 to $12.15, inclusive. The reporting person undertakes to provide to OM Asset Management plc, any security holder of OM Asset Management plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) and (4) to this Form 4.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.40 to $11.84, inclusive.
  5. Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc.
  6. Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan.
  7. On March 6, 2015, the reporting person was granted 7,083 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date.