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