0001611702-17-000018.txt : 20170215
0001611702-17-000018.hdr.sgml : 20170215
20170215175935
ACCESSION NUMBER: 0001611702-17-000018
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170213
FILED AS OF DATE: 20170215
DATE AS OF CHANGE: 20170215
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: 17615833
MAIL ADDRESS:
STREET 1: LEGG MASON INC
STREET 2: 100 LIGHT ST
CITY: BALTIMORE
STATE: MD
ZIP: 21202
4
1
wf-form4_148719956199544.xml
FORM 4
X0306
4
2017-02-13
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
2017-02-13
4
S
0
21539
14.9778
D
890523
D
Ordinary shares
2017-02-14
4
S
0
12987
14.927
D
877536
D
Ordinary shares
2017-02-15
4
A
0
136154
0
A
1013690
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 $14.88 to $15.10, 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) and (4) 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 $14.82 to $15.0401, 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) and (4) to this Form 4.
Consists of a restricted share award issued under the OM Asset Management plc Equity Incentive Plan. The restricted share award vests in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of February 15, 2018, February 15, 2019 and February 15, 2020.
/s/ Richard J. Hart, Attorney-in-fact
2017-02-15