Statement of Changes in Beneficial Ownership (4)
18 February 2021 - 10:35AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Hart Richard Jonathan |
2. Issuer Name and Ticker or Trading Symbol
BrightSphere Investment Group Inc.
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BSIG
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Legal Officer |
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(Last)
(First)
(Middle)
200 CLARENDON STREET, 53RD FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/14/2021 |
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(Street)
BOSTON, MA 02116
(City)
(State)
(Zip)
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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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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 | 2/14/2021 | | M | | 5016 | A | $0 | 22837 | D | |
| Common Stock | 2/15/2021 | | M | | 2103 | A | $0 | 24940 | D | |
| Common Stock | 2/16/2021 | | S | | 2679 (1) | D | $20.41 (2) | 22261 | 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 | $0.0 (3) | 2/14/2021 | | M | | | 5016 | (4) | (4) | Common Stock | 5016.0 | $0 | 14239 | D | |
| Restricted Stock Units | $0.0 (3) | 2/15/2021 | | M | | | 2103 | (5) | (5) | Common Stock | 2103.0 | $0 | 12136 | D | |
| Restricted Stock Units | $0.0 (3) | 2/15/2021 | | A | | 2773 | | (6) | (6) | Common Stock | 2773.0 | $0 | 14909 | D | |
| Explanation of Responses: |
| (1) | Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares. |
| (2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.29 to $20.49, 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. |
| (3) | Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc. |
| (4) | On February 14, 2020, the reporting person was granted 15,049 restricted stock units, vesting 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. |
| (5) | On February 15, 2019, the reporting person was granted 6,039 restricted stock units, vesting in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022. |
| (6) | On February 15, 2021, the reporting person was granted 2,773 restricted stock units, vesting in equal annual installments over a three-year period with 1/3 of the shares vesting on each of February 15, 2022, February 15, 2023 and February 15, 2024. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Hart Richard Jonathan
200 CLARENDON STREET
53RD FLOOR
BOSTON, MA 02116 |
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| Chief Legal Officer |
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Signatures
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| /s/ Richard J. Hart | | 2/17/2021 |
| **Signature of Reporting Person | Date |
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