0001104659-18-069665.txt : 20181123 0001104659-18-069665.hdr.sgml : 20181123 20181123061110 ACCESSION NUMBER: 0001104659-18-069665 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181119 FILED AS OF DATE: 20181123 DATE AS OF CHANGE: 20181123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HNA Eagle Holdco LLC CENTRAL INDEX KEY: 0001707867 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199155 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 929-281-2641 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HNA Capital (U.S.) Holding LLC CENTRAL INDEX KEY: 0001707864 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199156 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 929-281-2641 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HNA Capital Group Co., Ltd. CENTRAL INDEX KEY: 0001707885 STATE OF INCORPORATION: F4 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199157 BUSINESS ADDRESS: STREET 1: HNA BUILDING, NO. 7 GUOXING ROAD CITY: HAIKOU STATE: F4 ZIP: 570203 BUSINESS PHONE: 86-10-57583800 MAIL ADDRESS: STREET 1: HNA BUILDING, NO. 7 GUOXING ROAD CITY: HAIKOU STATE: F4 ZIP: 570203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HNA Capital (Hong Kong) Holding Co., Ltd. CENTRAL INDEX KEY: 0001707884 STATE OF INCORPORATION: K3 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199158 BUSINESS ADDRESS: STREET 1: 23/F., ARION COMMERCIAL CENTRE STREET 2: 2-12 QUEEN?S ROAD WEST CITY: HONG KONG STATE: K3 ZIP: 00000 BUSINESS PHONE: 86-10-57583800 MAIL ADDRESS: STREET 1: 23/F., ARION COMMERCIAL CENTRE STREET 2: 2-12 QUEEN?S ROAD WEST CITY: HONG KONG STATE: K3 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aleron Investments, Ltd. CENTRAL INDEX KEY: 0001707886 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199159 BUSINESS ADDRESS: STREET 1: 23/F HNA PLAZA, JIA NO. 26 STREET 2: XIAOYUN ROAD, CHAOYANG DISTRICT CITY: BEIJING STATE: F4 ZIP: 100125 BUSINESS PHONE: 86-10-57583800 MAIL ADDRESS: STREET 1: 23/F HNA PLAZA, JIA NO. 26 STREET 2: XIAOYUN ROAD, CHAOYANG DISTRICT CITY: BEIJING STATE: F4 ZIP: 100125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HNA Group Co., Ltd. CENTRAL INDEX KEY: 0001701124 STATE OF INCORPORATION: F4 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 181199160 BUSINESS ADDRESS: STREET 1: HNA BUILDING STREET 2: NO. 7 GUOXING ROAD CITY: HAIKOU, HAINAN STATE: F4 ZIP: 570203 BUSINESS PHONE: 86-898-66739906 MAIL ADDRESS: STREET 1: HNA BUILDING STREET 2: NO. 7 GUOXING ROAD CITY: HAIKOU, HAINAN STATE: F4 ZIP: 570203 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 a4.xml 4 X0306 4 2018-11-19 0 0001611702 BrightSphere Investment Group plc BSIG 0001707867 HNA Eagle Holdco LLC 850 THIRD AVENUE, 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001707864 HNA Capital (U.S.) Holding LLC 850 THIRD AVENUE, 16TH FLOOR NEW YORK NY 10022 0 0 1 0 0001707885 HNA Capital Group Co., Ltd. HNA BUILDING, NO. 7 GUOXING ROAD HAIKOU F4 570203 CHINA 0 0 1 0 0001707884 HNA Capital (Hong Kong) Holding Co., Ltd. 23/F., ARION COMMERCIAL CENTRE 2-12 QUEEN?S ROAD WEST HONG KONG K3 00000 HONG KONG 0 0 1 0 0001707886 Aleron Investments, Ltd. 23/F HNA PLAZA, JIA NO. 26 XIAOYUN ROAD, CHAOYANG DISTRICT BEIJING F4 100125 CHINA 0 0 1 0 0001701124 HNA Group Co., Ltd. HNA BUILDING NO. 7 GUOXING ROAD HAIKOU, HAINAN F4 570203 CHINA 0 0 1 0 Ordinary Shares, par value $0.001 per share 2018-11-19 4 S 0 4598566 12.80 D 22776663 D The ordinary shares of BrightSphere Investment Group plc (the "Issuer"), par value $0.001 per share (the "Ordinary Shares"), were sold to Paulson & Co., Inc. ("Paulson") pursuant to a share purchase agreement, dated as of November 16, 2018. The Ordinary Shares reported herein are directly owned by HNA Eagle Holdco LLC ("HNA Eagle") and indirectly owned by HNA Group Co., Ltd. ("HNA Group"), HNA Capital Group Co., Ltd. ("HNA Parent"), HNA Capital (Hong Kong) Holding Co., Ltd. ("HNA HK"), Aleron Investments, Ltd. ("Aleron") and HNA Capital (U.S.) Holding LLC ("HNA Capital", together with HNA Eagle, HNA Group, HNA HK, and Aleron, the "Reporting Persons"). HNA Eagle is a direct wholly-owned subsidiary of HNA Capital. HNA Capital is a direct wholly-owned subsidiary of Aleron. Aleron is a wholly-owned subsidiary of HNA HK. HNA HK is a wholly-owned subsidiary of HNA Parent. HNA Parent is 88.5% owned by HNA Group. The Reporting Persons disclaim beneficial ownership over the Ordinary Shares reported herein except to the extent of their respective pecuniary interest therein. HNA GROUP CO., LTD. By: /s/ Xiaofeng Chen, Board Director and Vice Chief Executive Officer, HNA Group Co., Ltd. 2018-11-21 HNA CAPITAL GROUP CO., LTD. By: /s/ Chuan Jin, President, HNA Capital Group Co., Ltd.; Executive Chairman of the Board of Directors, HNA Capital Group Co., Ltd. 2018-11-21 HNA CAPITAL (HONG KONG) HOLDING CO., LTD. By: /s/ Zhisheng Tong, Board Director, HNA Capital (Hong Kong) Holding Co., Ltd. 2018-11-21 ALERON INVESTMENTS, LTD. By: /s/ Kai Ren, Board Director, Aleron Investments Ltd.; Chief Financial Officer, HNA Capital Group Co., Ltd. 2018-11-21 HNA CAPITAL (U.S.) HOLDING LLC By: /s/ Enrico Marini Fichera, Chief Executive Officer, HNA Capital (U.S.) Holding LLC 2018-11-21 HNA EAGLE HOLDCO LLC By: /s/ Enrico Marini Fichera, Chief Executive Officer, HNA Eagle Holdco LLC 2018-11-21