Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-02-16 16:27:38
Reporting Period:
Accepted Time:
2018-02-16 16:27:38
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1611702 Om Asset Management Plc OMAM () 4
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1410070 J Aidan Riordan Ground Floor Millennium Bridge House
2 Lambeth Hill
London X0 EC4V 4GG
Evp/head Of Affiliate Mngmt No Yes 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 2018-02-15 29,253 $0.00 151,344 No 4 A Direct
Ordinary Shares Disposition 2018-02-16 3,495 $15.87 147,849 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
  1. Consists of a restricted share award issued under the OM Asset Management plc Equity Incentive Plan. The restricted share award vests in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of February 15, 2019, February 15, 2020 and February 15, 2021.
  2. The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
  3. Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.80 to $15.92, 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 footnote (4) to this Form 4.