Filing Details

Accession Number:
0001611702-18-000032
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-08 19:40:08
Reporting Period:
2018-03-06
Accepted Time:
2018-03-08 19:40:08
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
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 2018-03-06 78,668 $0.00 226,517 No 4 A Direct
Ordinary Shares Acquisiton 2018-03-06 14,821 $0.00 241,338 No 4 A Direct
Ordinary Shares Disposition 2018-03-07 45,260 $15.22 196,078 No 4 S Direct
Ordinary Shares Disposition 2018-03-08 76 $15.43 196,002 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 A Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. Consists of a one-time grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period.
  2. Consists of an annual grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period.
  3. 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.
  4. Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
  5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.10 to $15.3501, 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 (5) to this Form 4.