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