0001611702-19-000020.txt : 20190220 0001611702-19-000020.hdr.sgml : 20190220 20190220162923 ACCESSION NUMBER: 0001611702-19-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190215 FILED AS OF DATE: 20190220 DATE AS OF CHANGE: 20190220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riordan Aidan J CENTRAL INDEX KEY: 0001410070 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 19618667 MAIL ADDRESS: STREET 1: 999 EIGHTEENTH STREET, SUITE 3000 CITY: DENVER STATE: CO ZIP: 80202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BrightSphere Investment Group 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: MILLENNIUM BRIDGE HOUSE STREET 2: 2 LAMBETH HILL CITY: LONDON STATE: X0 ZIP: EC4V 4GG BUSINESS PHONE: 617-369-7341 MAIL ADDRESS: STREET 1: BRIGHTSPHERE INC. STREET 2: 200 CLARENDON STREET, 53RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: OM Asset Management plc DATE OF NAME CHANGE: 20141002 FORMER COMPANY: FORMER CONFORMED NAME: OM Asset Management Ltd DATE OF NAME CHANGE: 20140624 4 1 wf-form4_155069814998200.xml FORM 4 X0306 4 2019-02-15 0 0001611702 BrightSphere Investment Group plc BSIG 0001410070 Riordan Aidan J MILLENNIUM BRIDGE HOUSE 2 LAMBETH HILL LONDON X0 EC4V 4GG UNITED KINGDOM 0 1 0 0 EVP/Head of Affiliate Mngmt Ordinary shares 2019-02-19 4 S 0 2887 13.8167 D 202586 D Ordinary shares 2019-02-19 4 S 0 2350 13.8078 D 200236 D Restricted Share Units 2019-02-15 4 A 0 9013 0 A Ordinary shares 9013.0 9013 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 $13.79 to $13.86, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group plc, any security holder of BrightSphere Investment Group 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. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.79 to $13.85, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group plc, any security holder of BrightSphere Investment Group 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 (4) to this Form 4. Each restricted share unit represents a right to receive one ordinary share of BrightSphere Investment Group plc. Consists of restricted share units issued under the BrightSphere Investment Group plc 2017 Equity Incentive Plan. The restricted share units vest in equal annual installments over a three-year period with 1/3 of the restricted share units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022. /s/ Richard J. Hart, Attorney-in-fact 2019-02-20