0001611702-18-000033.txt : 20180308 0001611702-18-000033.hdr.sgml : 20180308 20180308194024 ACCESSION NUMBER: 0001611702-18-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180306 FILED AS OF DATE: 20180308 DATE AS OF CHANGE: 20180308 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BELGRAD STEPHEN CENTRAL INDEX KEY: 0001278559 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 18678169 MAIL ADDRESS: STREET 1: 151 DETROIT STREET CITY: DENVER STATE: CO ZIP: 80206 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 4 1 wf-form4_152055601025722.xml FORM 4 X0306 4 2018-03-06 0 0001611702 OM Asset Management plc OMAM 0001278559 BELGRAD STEPHEN GROUND FLOOR MILLENNIUM BRIDGE HOUSE 2 LAMBETH HILL LONDON X0 EC4V 4GG UNITED KINGDOM 1 1 0 0 EVP/CFO Ordinary shares 2018-03-06 4 A 0 78668 0 A 317760 D Ordinary shares 2018-03-06 4 A 0 20392 0 A 338152 D Ordinary shares 2018-03-07 4 S 0 49123 15.2218 D 289029 D Ordinary shares 2018-03-08 4 S 0 90 15.43 D 288939 D Consists of a one-time grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period. Consists of an annual grant of performance based shares awarded on 3/6/2018 after achieving specific performance goals and vesting over the 2015-2018 period. 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 $15.09 to $15.43, 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 (5) to this Form 4. /s/ Richard J. Hart, Attorney-in-fact 2018-03-08