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