0001611702-17-000026.txt : 20170308
0001611702-17-000026.hdr.sgml : 20170308
20170308183242
ACCESSION NUMBER: 0001611702-17-000026
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170306
FILED AS OF DATE: 20170308
DATE AS OF CHANGE: 20170308
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: OM Asset Management plc
CENTRAL INDEX KEY: 0001611702
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 981179929
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5TH FLOOR, MILLENNIUM BRIDGE HOUSE
STREET 2: 2 LAMBETH HILL
CITY: LONDON
STATE: X0
ZIP: EC4V 4GG
BUSINESS PHONE: 617-369-7321
MAIL ADDRESS:
STREET 1: OLD MUTUAL (US) HOLDINGS INC.
STREET 2: 200 CLARENDON STREET, 53RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER COMPANY:
FORMER CONFORMED NAME: OM Asset Management Ltd
DATE OF NAME CHANGE: 20140624
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RITCHIE JAMES JOSEPH
CENTRAL INDEX KEY: 0001181389
STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331]
STATE OF INCORPORATION: D0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36683
FILM NUMBER: 17676336
MAIL ADDRESS:
STREET 1: C/O CERES GROUP INC
STREET 2: 17800 ROYALTON ROAD
CITY: STRONGSVILLE
STATE: OH
ZIP: 44136
4
1
wf-form4_148901594874275.xml
FORM 4
X0306
4
2017-03-06
0
0001611702
OM Asset Management plc
OMAM
0001181389
RITCHIE JAMES JOSEPH
GROUND FLOOR MILLENNIUM BRIDGE HOUSE
2 LAMBETH HILL
LONDON
X0
EC4V 4GG
UNITED KINGDOM
1
0
0
0
Ordinary shares
2017-03-06
4
M
0
3777
0
A
26634
D
Ordinary shares
2017-03-07
4
S
0
362
14.9228
D
26272
D
Restricted Share Units
2017-03-06
4
M
0
3777
0
D
Ordinary shares
3777.0
7633
D
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.
Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.9115 to $14.925, 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 (3) to this Form 4.
Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc.
Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan.
On March 6, 2015, the reporting person was granted 11,332 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
/s/ Richard J. Hart, Attorney-in-fact
2017-03-08