Filing Details
- Accession Number:
- 0001748824-20-000005
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-19 17:07:52
- Reporting Period:
- 2020-02-14
- Accepted Time:
- 2020-02-19 17:07:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1748824 | Brightsphere Investment Group Inc. | BSIG | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1620413 | K. Daniel Mahoney | 200 Clarendon Street 53Rd Floor Boston MA 02116 | Head Of Finance/Pao | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-02-15 | 2,284 | $0.00 | 11,041 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-18 | 237 | $10.53 | 10,804 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-18 | 936 | $10.51 | 9,868 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-02-18 | 1 | $10.57 | 9,867 | 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 | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2020-02-14 | 15,049 | $0.00 | 15,049 | $0.00 |
| Common Stock | Employee Stock Option | Acquisiton | 2020-02-14 | 125,000 | $0.00 | 125,000 | $12.00 |
| Common Stock | Restricted Stock Units | Disposition | 2020-02-15 | 2,284 | $0.00 | 2,284 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 21,899 | No | 4 | A | Direct | ||
| 125,000 | 2025-02-14 | No | 4 | A | Direct | |
| 19,615 | No | 4 | M | Direct |
Footnotes
- Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
- Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc.
- The restricted stock units vest in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 14, 2021, February 14, 2022 and February 14, 2023.
- On February 14, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of BrightSphere Investment Group Inc. The option vests in five equal installments, with the first tranche vesting immediately and the following tranches vesting on each of December 31, 2020, December 31, 2021, December 31, 2022 and December 31, 2023, subject to the terms of the award agreement.
- On February 15, 2019, the reporting person was granted 6,850 restricted stock units, vesting in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.
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