Statement of Changes in Beneficial Ownership (4)
2023年6月10日 - 7:13AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Trebbi Barbara |
2. Issuer Name and Ticker or Trading Symbol
BrightSphere Investment Group Inc.
[
BSIG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
200 STATE STREET, 13TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2023 |
(Street)
BOSTON, MA 02109 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/7/2023 | | M | | 4762 | A | $0 | 36646 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units (1) | (1) | 6/7/2023 | | M | | | 4762 | (2) | (2) | Common Stock | 4762 | $0 | 0 | D | |
Restricted Stock Units (1) | (1) | 6/8/2023 | | A | | 4379 (3) | | (4) | (4) | Common Stock | 4379 | $0 | 4379 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc. |
(2) | On June 8, 2022, the reporting person was granted 4,762 restricted stock units vesting upon the earlier of June 8, 2023 and the date of the 2023 annual meeting of stockholders of BrightSphere Investment Group Inc., which was held on June 7, 2023. |
(3) | Consists of restricted stock units issued under the BrightSphere Investment Group Inc. Non-Employee Directors' Equity Incentive Plan. |
(4) | On June 8, 2023, the reporting person was granted 4,379 restricted stock units vesting upon the earlier of June 8, 2024 and the date of the 2024 annual meeting of stockholders of BrightSphere Investment Group Inc. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Trebbi Barbara 200 STATE STREET 13TH FLOOR BOSTON, MA 02109 | X |
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Signatures
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/s/ Richard J. Hart, Attorney-in-fact | | 6/9/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
BrightSphere Investment (NYSE:BSIG)
過去 株価チャート
から 11 2024 まで 12 2024
BrightSphere Investment (NYSE:BSIG)
過去 株価チャート
から 12 2023 まで 12 2024