0001611702-18-000030.txt : 20180308 0001611702-18-000030.hdr.sgml : 20180308 20180308193925 ACCESSION NUMBER: 0001611702-18-000030 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: Legg Kyle P CENTRAL INDEX KEY: 0001501930 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 18678163 MAIL ADDRESS: STREET 1: 343 STATE STREET CITY: ROCHESTER STATE: NY ZIP: 14650 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_152055594354029.xml FORM 4 X0306 4 2018-03-06 0 0001611702 OM Asset Management plc OMAM 0001501930 Legg Kyle P GROUND FLOOR MILLENNIUM BRIDGE HOUSE 2 LAMBETH HILL LONDON X0 EC4V 4GG UNITED KINGDOM 1 0 0 0 Ordinary shares 2018-03-06 4 M 0 2361 0 A 25145 D Ordinary shares 2018-03-07 4 S 0 93 15.0718 D 25052 D Restricted Share Units 2018-03-06 4 M 0 2361 0 D Ordinary shares 2361.0 7098 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 $15.07 to $15.24, 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(3) to this Form 4. Each restricted share unit represents a right to receive one ordinary share of OM Asset Management plc. Consists of restricted share units issued under the OM Asset Management plc Non-Employee Directors' Equity Incentive Plan. On March 6, 2015, the reporting person was granted 7,083 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date. /s/ Richard J. Hart, Attorney-in-fact 2018-03-08