SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 03/25/2020 | 3. Issuer Name and Ticker or Trading Symbol BrightSphere Investment Group Inc. [ BSIG ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2,398(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units(2) | (3) | (3) | Common Stock | 2,039 | 0.0 | D |
Explanation of Responses: |
1. On March 6, 2015, the reporting person was granted 600 restricted shares, vesting in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of March 6, 2016, March 6, 2017 and March 6, 2018. On February 15, 2018, the reporting person was granted 1,437 restricted shares, vesting in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of February 15, 2019, February 15, 2020 and February 15, 2021. On December 20, 2019, the reporting person was granted 375 restricted shares, vesting in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of December 20, 2020, December 20, 2021 and December 20, 2022. |
2. Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc. |
3. The restricted stock units vest in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 14, 2021, February 14, 2022 and February 14, 2023. |
Remarks: |
/s/ Richard J. Hart | 03/26/2020 | |
** 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 5 (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 Number. |