0001611702-17-000007.txt : 20170214 0001611702-17-000007.hdr.sgml : 20170214 20170214175052 ACCESSION NUMBER: 0001611702-17-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170210 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 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: 17611419 MAIL ADDRESS: STREET 1: ONE MIDTOWN PLAZA STREET 2: 1360 PEACHTREE STREET NE CITY: ATLANTA STATE: GA ZIP: 30309 4 1 wf-form4_148711262891150.xml FORM 4 X0306 4 2017-02-10 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 2017-02-10 4 M 0 9183 0 A 16385 D Ordinary shares 2017-02-13 4 S 0 369 14.9778 D 16016 D Ordinary shares 2017-02-14 4 S 0 222 14.927 D 15794 D Restricted Share Units 2017-02-10 4 M 0 9183 0 D Ordinary shares 9183.0 4722 D 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. /s/ Richard J. Hart, Attorney-in-fact 2017-02-14 EX-24 2 ex-24.htm ROGERSPOA

POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. Hart as the undersigned's true and lawful attorney-in-fact, with full power of substitution, for and in the name, place and stead of the undersigned, in any and all capacities, to:
1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U.S. Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;
2) prepare and execute for and on behalf of the undersigned Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any joint filing agreement thereunder, and do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, or complete and execute any amendment or amendments thereto;
3) prepare and execute for and on behalf of the undersigned reports of ownership on Schedule 13D or 13G under the Securities Exchange Act of 1934, as amended, and the rules thereunder, including any joint filing agreement thereunder, and do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such reports or schedules, and complete and execute any amendment or amendments thereto;
4) prepare and execute for and on behalf of the undersigned notices of proposed sale of securities pursuant to Rule 144 under the Securities Act of 1933, as amended, and the rules thereunder, including any joint filing agreement thereunder, and do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such reports or schedules, and complete and execute any amendment or amendments thereto; and
5) timely file such forms with the SEC and any stock exchange or similar authority, and to take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion.
The undersigned hereby grants to such attorney-in-fact full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact, or his substitute or substitutes, may lawfully do or cause to be done by virtue hereof
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 18th day of May, 2016.
Signature: /s/ John D. Rogers
Print Name: John D. Rogers