0001748824-21-000056.txt : 20211130
0001748824-21-000056.hdr.sgml : 20211130
20211130162542
ACCESSION NUMBER: 0001748824-21-000056
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211129
FILED AS OF DATE: 20211130
DATE AS OF CHANGE: 20211130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rana Suren
CENTRAL INDEX KEY: 0001723025
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38979
FILM NUMBER: 211459991
MAIL ADDRESS:
STREET 1: 245 PARK AVENUE
STREET 2: 40TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10167
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_163830752539433.xml
FORM 4
X0306
4
2021-11-29
0
0001748824
BrightSphere Investment Group Inc.
BSIG
0001723025
Rana Suren
200 CLARENDON STREET
53RD FLOOR
BOSTON
MA
02116
1
1
0
0
President and CEO
Common Stock
2021-11-29
4
M
0
1242000
12
A
1242000
D
Common Stock
2021-11-29
4
F
0
820955
30.15
D
421045
D
Common Stock
2021-11-29
4
M
0
375000
10
A
796045
D
Common Stock
2021-11-29
4
F
0
235529
30.15
D
560516
D
Employee Stock Option
12.0
2021-11-29
4
M
0
1242000
12
D
2024-01-20
Common Stock
1242000.0
828000
D
Employee Stock Option
10.0
2021-11-29
4
M
0
375000
10
D
2024-12-31
Common Stock
375000.0
1125000
D
On January 20, 2019, the reporting person was granted an option to purchase 2,070,000 ordinary shares of BrightSphere Investment Group plc. The option vests in five equal annual installments of 414,000 ordinary shares over a four-year period with the first tranche vesting immediately, and the following tranches vesting on each of January 20, 2020, January 20, 2021, January 20, 2022 and January 20, 2023, subject to the reporting person's continued employment with the Company. Upon a change of control of BrightSphere (as defined in the award agreement), the vesting of one tranche equal to 20% of the option shall accelerate pursuant to the terms of the award agreement.
On April 21, 2020, the reporting person was granted an option to purchase 1,500,000 shares of common stock of BrightSphere Investment Group Inc. The option vests in four equal installments on each of December 31, 2020, December 31, 2021, December 31, 2022 and December 31, 2023.
/s/ Richard J. Hart, Attorney-in-fact
2021-11-30