0001611702-17-000045.txt : 20170412 0001611702-17-000045.hdr.sgml : 20170412 20170412174756 ACCESSION NUMBER: 0001611702-17-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170410 FILED AS OF DATE: 20170412 DATE AS OF CHANGE: 20170412 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: Riordan Aidan J CENTRAL INDEX KEY: 0001410070 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36683 FILM NUMBER: 17758788 MAIL ADDRESS: STREET 1: 999 EIGHTEENTH STREET, SUITE 3000 CITY: DENVER STATE: CO ZIP: 80202 4 1 wf-form4_149203366158766.xml FORM 4 X0306 4 2017-04-10 0 0001611702 OM Asset Management plc OMAM 0001410070 Riordan Aidan J GROUND FLOOR MILLENNIUM BRIDGE HOUSE 2 LAMBETH HILL LONDON X0 EC4V 4GG UNITED KINGDOM 0 1 0 0 EVP/Head of Affiliate Mngmt Ordinary shares 2017-04-10 4 S 0 8000 15.0081 D 139829 D Ordinary shares 2017-04-10 4 S 0 2500 15.0068 D 137329 D Ordinary shares 2017-04-11 4 S 0 7530 14.9657 D 129799 D Ordinary shares 2017-04-11 4 S 0 2276 14.9133 D 127523 D Ordinary shares 2017-04-12 4 S 0 60 14.958 D 127463 D Ordinary shares 2017-04-12 4 S 0 169 14.965 D 127294 D 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 $14.90 to $15.12, 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), (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 $14.71 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 (3), (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 $14.71 to $15.09, 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), (4) and (5) to this Form 4. /s/ Richard J. Hart, Attorney-in-fact 2017-04-12