Filing Details
- Accession Number:
- 0001611702-17-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-14 17:50:52
- Reporting Period:
- 2017-02-10
- Filing Date:
- 2017-02-14
- Accepted Time:
- 2017-02-14 17:50:52
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1611702 | Om Asset Management Plc | OMAM | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1192225 | John Rogers | Ground Floor Millennium Bridge House 2 Lambeth Hill London X0 EC4V 4GG | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2017-02-10 | 9,183 | $0.00 | 16,385 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2017-02-13 | 369 | $14.98 | 16,016 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2017-02-14 | 222 | $14.93 | 15,794 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Restricted Share Units | Disposition | 2017-02-10 | 9,183 | $0.00 | 9,183 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,722 | No | 4 | M | Direct |
Footnotes
- Restricted share units convert into ordinary shares on a one-for-one basis.
- 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 $14.88 to $15.10, 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 footnotes (4) and (5) 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 $14.82 to $15.0401, 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 footnotes (4) and (5) 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 February 10, 2016, the reporting person was granted 9,183 restricted share units, vesting fully on February 10, 2017.
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