0001611702-16-000136.txt : 20160413 0001611702-16-000136.hdr.sgml : 20160413 20160413165344 ACCESSION NUMBER: 0001611702-16-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160411 FILED AS OF DATE: 20160413 DATE AS OF CHANGE: 20160413 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: BAIN PETER L CENTRAL INDEX KEY: 0001206658 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 161569690 MAIL ADDRESS: STREET 1: LEGG MASON INC STREET 2: 100 LIGHT ST CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 wf-form4_146058081254972.xml FORM 4 X0306 4 2016-04-11 0 0001611702 OM Asset Management plc OMAM 0001206658 BAIN PETER L GROUND FLOOR MILLENNIUM BRIDGE HOUSE 2 LAMBETH HILL LONDON X0 EC4V 4GG UNITED KINGDOM 1 1 0 0 Chief Executive Officer Ordinary shares 2016-04-11 4 S 0 15111 12.8193 D 1012201 D Ordinary shares 2016-04-12 4 S 0 15111 12.9006 D 997090 D Ordinary shares 2016-04-13 4 S 0 15111 13.6955 D 981979 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 $12.67 to $13.04, 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 (3), (4) and (5) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.58 to $13.10, inclusive. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.91, inclusive. /s/ Molly S. Mugler, Attorney-in-fact 2016-04-13