0001611702-16-000093.txt : 20160308
0001611702-16-000093.hdr.sgml : 20160308
20160308184118
ACCESSION NUMBER: 0001611702-16-000093
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160306
FILED AS OF DATE: 20160308
DATE AS OF CHANGE: 20160308
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: OM Asset Management plc
CENTRAL INDEX KEY: 0001611702
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 981179929
STATE OF INCORPORATION: X0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5TH FLOOR, MILLENNIUM BRIDGE HOUSE
STREET 2: 2 LAMBETH HILL
CITY: LONDON
STATE: X0
ZIP: EC4V 4GG
BUSINESS PHONE: 617-369-7321
MAIL ADDRESS:
STREET 1: OLD MUTUAL (US) HOLDINGS INC.
STREET 2: 200 CLARENDON STREET, 53RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER COMPANY:
FORMER CONFORMED NAME: OM Asset Management Ltd
DATE OF NAME CHANGE: 20140624
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROGERS JOHN
CENTRAL INDEX KEY: 0001192225
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36683
FILM NUMBER: 161492909
MAIL ADDRESS:
STREET 1: ONE MIDTOWN PLAZA
STREET 2: 1360 PEACHTREE STREET NE
CITY: ATLANTA
STATE: GA
ZIP: 30309
4
1
wf-form4_145748046707627.xml
FORM 4
X0306
4
2016-03-06
0
0001611702
OM Asset Management plc
OMAM
0001192225
ROGERS JOHN
GROUND FLOOR MILLENNIUM BRIDGE HOUSE
2 LAMBETH HILL
LONDON
X0
EC4V 4GG
UNITED KINGDOM
1
0
0
0
Ordinary shares
2016-03-06
4
M
0
2361
0
A
7361
D
Ordinary shares
2016-03-07
4
S
0
53
12.0035
D
7308
D
Ordinary shares
2016-03-08
4
S
0
28
11.6047
D
7280
D
Restricted Share Units
2016-03-06
4
M
0
2361
0
D
Ordinary shares
2361.0
13905
D
Restricted share units convert into ordinary shares on a one-for-one basis.
Represents shares sold by the reporting person to cover certain 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 $11.81 to $12.15, 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 (3) and (4) 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 $11.40 to $11.84, inclusive.
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 March 6, 2015, the reporting person was granted 7,083 restricted share units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
/s/ Molly S. Mugler, Attorney-in-fact
2016-03-08