Filing Details
- Accession Number:
- 0001748824-22-000004
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2022-01-14 16:11:56
- Reporting Period:
- 2021-12-15
- Accepted Time:
- 2022-01-14 16:11:56
- Original Submission Date:
- 2022-01-03
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1748824 | Brightsphere Investment Group Inc. | BSIG | () | 4/A |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1723025 | Suren Rana | 200 Clarendon Street 53Rd Floor Boston MA 02116 | President And Ceo | Yes | Yes | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2021-12-15 | 71,000 | $26.84 | 201,967 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-12-16 | 71,000 | $26.95 | 130,967 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-12-31 | 375,000 | $10.00 | 505,967 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-12-31 | 246,824 | $25.92 | 259,143 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2021-12-31 | 128,176 | $25.81 | 130,967 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option | Disposition | 2021-12-31 | 375,000 | $10.00 | 375,000 | $10.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 750,000 | 2024-12-31 | No | 4 | M | Direct |
Footnotes
- This Form 4 is amended to reflect sales by the reporting person on December 15, 2021 and December 16, 2021 that were inadvertently omitted due to a clerical error.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.52 to $27.225, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., 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 (2) 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 $26.77 to $27.22, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.56 to $25.99, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., 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 (4) to this Form 4.
- On April 21, 2020, the reporting person was granted an option to purchase 1,500,000 shares of common stock of BrightSphere Investment Group Inc. The option vests in four equal installments on each of December 31, 2020, December 31, 2021, December 31, 2022 and December 31, 2023.
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