0001748824-20-000005.txt : 20200219 0001748824-20-000005.hdr.sgml : 20200219 20200219170752 ACCESSION NUMBER: 0001748824-20-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200214 FILED AS OF DATE: 20200219 DATE AS OF CHANGE: 20200219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mahoney Daniel K. CENTRAL INDEX KEY: 0001620413 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38979 FILM NUMBER: 20630996 MAIL ADDRESS: STREET 1: C/O OLD MUTUAL ASSET MANAGEMENT STREET 2: 200 CLARENDON STREET CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BrightSphere Investment Group Inc. CENTRAL INDEX KEY: 0001748824 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 471121020 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 CLAREDON ST STREET 2: 53RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6173697300 MAIL ADDRESS: STREET 1: 200 CLAREDON ST STREET 2: 53RD FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: BrightSphere US Inc. DATE OF NAME CHANGE: 20180801 4 1 wf-form4_158215005554969.xml FORM 4 X0306 4 2020-02-14 0 0001748824 BrightSphere Investment Group Inc. BSIG 0001620413 Mahoney Daniel K. 200 CLARENDON STREET 53RD FLOOR BOSTON MA 02116 0 1 0 0 Head of Finance/PAO Common Stock 2020-02-15 4 M 0 2284 0 A 11041 D Common Stock 2020-02-18 4 S 0 237 10.53 D 10804 D Common Stock 2020-02-18 4 S 0 936 10.51 D 9868 D Common Stock 2020-02-18 4 S 0 1 10.57 D 9867 D Restricted Stock Units 2020-02-14 4 A 0 15049 0 A Common Stock 15049.0 21899 D Employee Stock Option 12.0 2020-02-14 4 A 0 125000 0 A 2025-02-14 Common Stock 125000.0 125000 D Restricted Stock Units 2020-02-15 4 M 0 2284 0 D Common Stock 2284.0 19615 D Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares. Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc. The restricted stock units vest 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. On February 14, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of BrightSphere Investment Group Inc. The option vests in five equal installments, with the first tranche vesting immediately and the following tranches vesting on each of December 31, 2020, December 31, 2021, December 31, 2022 and December 31, 2023, subject to the terms of the award agreement. On February 15, 2019, the reporting person was granted 6,850 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. /s/ Richard J. Hart, Attorney-in-fact 2020-02-19