-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Q/NeoCE6DLOdrkSbuq4By86mJuuFsYk/A4nqycIRRWQIBl8JHw78ewf1c0wsN76z 4wDjw+kMKsl7R00sMUV4kg== 0000914208-11-000273.txt : 20110217 0000914208-11-000273.hdr.sgml : 20110217 20110217165729 ACCESSION NUMBER: 0000914208-11-000273 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110217 DATE AS OF CHANGE: 20110217 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HARTLEY DAVID CENTRAL INDEX KEY: 0001192224 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: ONE MIDTOWN PLAZA STREET 2: 1360 PEACHTREE STREET NE CITY: ATLANTA STATE: GA ZIP: 30309 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Invesco Ltd. CENTRAL INDEX KEY: 0000914208 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 980557567 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-13908 FILM NUMBER: 11621514 BUSINESS ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 BUSINESS PHONE: 404-892-0896 MAIL ADDRESS: STREET 1: 1555 PEACHTREE STREET NE STREET 2: SUITE 1800 CITY: ATLANTA STATE: GA ZIP: 30309 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd DATE OF NAME CHANGE: 20080508 FORMER COMPANY: FORMER CONFORMED NAME: Invesco PLC DATE OF NAME CHANGE: 20080429 FORMER COMPANY: FORMER CONFORMED NAME: Invesco Ltd. DATE OF NAME CHANGE: 20071205 144 1 form14402172011.htm form14402172011.htm

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
                                   60;                    SEC USE ONLY
                                                       DOCUMENT SEQUENCE NO.
                                                      CUSIP NUMBER
                                   < font id="TAB2" style="LETTER-SPACING: 9pt">                      WORK LOCATION

FORM 144
 
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
 
ATTENTION:
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
 
    or executing a sale directly with a market maker.
1 (a) NAME OF ISSUER (Please type or print)
 
Invesco Ltd.
(b) IRS IDENT. NO.
98-0557567
 
(c) S.E.C. FILE NO.
1-13908
 
   
1 (d) ADDRESS OF ISSUER                                                                        STREET                                   CITY                    0;                STATE ZIP CODE
(e) TELEPHONE NO.
 
Two Peachtree Pointe,                                           1555 Peachtree Street, NE, Suite 1800   Atlanta                         GA                          30309
AREA CODE
404
NUMBER
892-0896
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
David Hartley
 
(b) RELATIONSHIP TO ISSUER
Officer
(c) ADDRESS STREET      CITY         STATE        ZIP CODE
 
1555 Peachtree St. NE Suite 1800, Atlanta    GA     30309 
       

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 
  3 (a)
(b)
SEC USE ONLY
 
(c)
   
(d)
   
(e)
 
(f)
(g)
Title of the
Class of
Securities
To Be Sold
 
 
Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities
 
Broker-Dealer
File Number
 
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
   
Aggregate
Market
Value
(See instr. 3(d))
   
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
 
Approximate
Date of Sale
(See instr. 3(f))
(MO.      DAY       YR.)
Name of Each
Securities
Exchange
(See instr. 3(g))
Common Shares
 
UBS AG, Wealth Management, 1 Curzon Street, London W1J5UB, United Kingdom
      12,500     $ 339,375       462,055,518  
02/17/2011
New York Stock Exchange
                                     
                                     
 
INSTRUCTIONS:
3.  (a) Title of the class of securities to be sold
1. (a) Name of issuer
(b) Name and address of each broker through whom the securities are intended to be sold
(b) Issuer’s I.R.S. Identification Number
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(c) Issuer’s S.E.C. file number, if any
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(d) Issuer’s address, including zip code
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as
(e) Issuer’s telephone number, including area code
shown by the most recent report or statement published by the issuer
 
(f) Approximate date on which the securities are to be sold
2. (a) Name of person for whose account the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold
(b) Such person’s relationship to the issuer (e.g., officer, director, 10% sockholder, or member of immediate family of any of the foregoing)
 
(c) Such person’s address, including zip code
 

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (08-07)
 
 

 

TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of
the Class
Date you Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of Securities Acquired
Date of Payment
Nature of Payment
Common Shares
02/17/2011
Exercise of employee stock option (right to buy)
Issuer
12,500
02/17/2011
Sale of Common Shares to cover option exercise price (cashless exercise)
 
INSTRUCTIONS:      If the securities were purchased and full payment therefor was not made in cash at the
                                       time of purchase, explain in the table or in a note thereto the nature of the
                                       consideration given. If the consideration consisted of any note or other obligation,
                                       or if payment was made in installments describe the arrangement and state when the
                                       note or other obligation was discharged in full or the last installment paid.
   
 
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
 
Name and Address of Seller
 
Title of Securities Sold
 
Date of Sale
Amount of
Securities Sold
 
Gross Proceeds
     
- n/a -
 
 
REMARKS:



INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is
to be given not only as to the person for whose account the securities
are to be sold but also as to all other persons included in that definition.
In addition, information shall be given as to sales by all persons
whose sales are required by paragraph (e) of Rule 144 to be aggregated with
sales for the account of the person filing this notice.
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.  If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form a
nd indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
 
             02/17/2011               
                                    DATE OF NOTICE                           
        /s/ David Hartley            
                                                   SIGNATURE
 
__________________________________________________
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
The notice shall be signed by the person for whose account the securities are to be
sold.  At least one copy of the notice shall be manually signed.  Any copies not manually signed shall bear typed o  printed signatures.

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

fb.us.2539144.01

SEC 1147 (04-07)
 
 
 
 

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