Filing Details

Accession Number:
0001611702-19-000020
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-20 16:29:23
Reporting Period:
2019-02-15
Accepted Time:
2019-02-20 16:29:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1611702 Brightsphere Investment Group Plc BSIG () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1410070 J Aidan Riordan 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 Disposition 2019-02-19 2,887 $13.82 202,586 No 4 S Direct
Ordinary Shares Disposition 2019-02-19 2,350 $13.81 200,236 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 Acquisiton 2019-02-15 9,013 $0.00 9,013 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,013 No 4 A Direct
Footnotes
  1. 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.
  2. Represents shares sold by the reporting person to cover 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 $13.79 to $13.86, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group plc, any security holder of BrightSphere Investment Group 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 (3) 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 $13.79 to $13.85, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group plc, any security holder of BrightSphere Investment Group 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.
  5. Each restricted share unit represents a right to receive one ordinary share of BrightSphere Investment Group plc.
  6. Consists of restricted share units issued under the BrightSphere Investment Group plc 2017 Equity Incentive Plan.
  7. The restricted share units vest in equal annual installments over a three-year period with 1/3 of the restricted share units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.