Filing Details
- Accession Number:
- 0001104659-19-010392
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-25 18:36:25
- Reporting Period:
- 2019-02-21
- Accepted Time:
- 2019-02-25 18:36:25
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1611702 | Brightsphere Investment Group Plc | BSIG | Investment Advice (6282) | 981179929 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1701124 | Hna Group Co., Ltd. | Hna Building No. 7 Guoxing Road Haikou, Hainan F4 570203 | No | No | Yes | No | |
| 1707864 | Hna Capital (U.s.) Holding Llc | 245 Park Avenue Floor 40 New York NY 10167 | No | No | Yes | No | |
| 1707867 | Hna Eagle Holdco Llc | 245 Park Avenue Floor 40 New York NY 10167 | No | No | Yes | No | |
| 1707884 | Hna Capital (Hong Kong) Holding Co., Ltd. | 23/F., Arion Commercial Centre 2-12 Queen?S Road West Hong Kong K3 00000 | No | No | Yes | No | |
| 1707885 | Hna Capital Group Co., Ltd. | Hna Building, No. 7 Guoxing Road Haikou F4 570203 | No | No | Yes | No | |
| 1707886 | Aleron Investments, Ltd. | 23/F Hna Plaza, Jia No. 26 Xiaoyun Road, Chaoyang District Beijing F4 100125 | No | No | Yes | 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, Par Value $0.001 Per Share | Disposition | 2019-02-21 | 4,100,000 | $13.89 | 18,676,663 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.001 Per Share | Disposition | 2019-02-25 | 3,886,625 | $13.95 | 14,790,038 | No | 4 | S | Direct | |
| Ordinary Shares, Par Value $0.001 Per Share | Disposition | 2019-02-25 | 14,790,038 | $13.95 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Footnotes
- HNA Eagle Holdco LLC ("HNA Eagle") resold the Ordinary Shares to BrightSphere Investment Group plc (the "Issuer") as part of the Issuer's share repurchase program, via Citigroup Global Markets Inc. ("Citigroup"). HNA Eagle sold the Ordinary Shares to Citigroup, who then resold them immediately to the Issuer.
- HNA Eagle sold the Ordinary Shares to Paulson & Co., Inc. ("Paulson") pursuant to the share purchase agreement, dated November 16, 2018, between HNA Eagle and Paulson.
- The Ordinary Shares reported herein were directly owned by HNA Eagle and indirectly owned by HNA Group Co., Ltd. ("HNA Group"), HNA Capital Group Co., Ltd. ("HNA Parent"), HNA Capital (Hong Kong) Holding Co., Ltd. ("HNA HK"), Aleron Investments, Ltd. ("Aleron") and HNA Capital (U.S.) Holding LLC ("HNA Capital", together with HNA Eagle, HNA Group, HNA HK, and Aleron, the "Reporting Persons"). HNA Eagle is a direct wholly-owned subsidiary of HNA Capital. HNA Capital is a direct wholly-owned subsidiary of Aleron. Aleron is a wholly-owned subsidiary of HNA HK. HNA HK is a wholly-owned subsidiary of HNA Parent. HNA Parent is 88.5% owned by HNA Group. The Reporting Persons disclaim beneficial ownership over the Ordinary Shares reported herein except to the extent of their respective pecuniary interest therein.
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