Invesco Ltd.
|
(Name of Issuer)
|
Common Shares, par value $0.20 per share
|
(Title of Class of Securities)
|
G491BT108
|
(CUSIP Number)
|
Massachusetts Mutual Life Insurance Company
1295 State Street
Springfield, MA 01111
Attention: Michael O'Connor
(800) 767-1000
|
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
|
November 4, 2020
|
(Date of Event which Requires Filing of this Statement)
|
CUSIP No. G491BT108
|
13D
|
Page 2 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Massachusetts Mutual Life Insurance Company
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Massachusetts |
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
75,643,326
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
75,665,666
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
75,665,666
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
16.5%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IC
|
|
|
|||
|
|
CUSIP No. G491BT108
|
13D
|
Page 3 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
MassMutual Holding LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
75,591,076
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
75,613,416
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
75,613,416
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
16.5%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
CUSIP No. G491BT108
|
13D
|
Page 4 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
MM Asset Management Holding LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☐
|
||
(b)
|
☒
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
75,591,076
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
75,591,076
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
75,591,076
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
16.5%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
OO
|
|
|
|||
|
|
Item 2. |
Identity and Background.
|
Officers:
|
Country of Citizenship:
|
Roger W. Crandall, Chairman, President and Chief Executive Officer
|
United States of America
|
Susan M. Cicco, Head of Human Resources and Employee Experience
|
United States of America
|
M. Timothy Corbett, Chief Investment Officer
|
United States of America
|
Michael R. Fanning, Head of MassMutual U.S.
|
United States of America
|
Geoffrey Craddock, Chief Risk Officer
|
United States of America & United Kingdom
|
Michael O'Connor, General Counsel
|
United States of America
|
Gareth F. Ross, Head of Enterprise Technology and Experience
|
United States of America & Ireland
|
Elizabeth A. Ward, Chief Financial Officer
|
United States of America
|
Eddie Ahmed, Head of MassMutual International LLC
|
Australia
|
Michael Freno, Chairman and Chief Executive Officer of Barings LLC
|
United States of America
|
Board of Directors:
|
Country of Citizenship:
|
Roger W. Crandall
|
United States of America
|
H. Todd Stitzer
|
United States of America & United Kingdom
|
Karen Bechtel
|
United States of America
|
Mark T. Bertolini
|
United States of America
|
Kathleen A. Corbet
|
United States of America
|
James H. DeGraffenreidt, Jr.
|
United States of America
|
Isabella D. Goren
|
United States of America (through naturalization)
|
Jeffrey M. Leiden, M.D., Ph.D.
|
United States of America
|
Laura J. Sen
|
United States of America
|
William T. Spitz
|
United States of America
|
Shelley B. Leibowitz
|
United States of America
|
Item 4. |
Purpose of Transaction.
|
Item 5. |
Interest in Securities of the Issuer.
|
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
|
||
By:
|
/s/ Jaime Genua
|
|
Name:
|
Jaime Genua
|
|
Title:
|
Assistant Secretary
|
|
MASSMUTUAL HOLDING LLC
|
||
By:
|
/s/ Jaime Genua
|
|
Name:
|
Jaime Genua
|
|
Title:
|
Assistant Secretary
|
|
MM ASSET MANAGEMENT HOLDING LLC
|
||
By:
|
/s/ Jaime Genua
|
|
Name:
|
Jaime Genua
|
|
Title:
|
Assistant Secretary
|
Trade Date
|
Price
|
Quantity
|
9/1/2020
|
10.26000
|
70
|
9/1/2020
|
10.18000
|
-3
|
9/1/2020
|
10.18000
|
-14
|
9/1/2020
|
10.18000
|
-16
|
9/2/2020
|
10.59630
|
35
|
9/2/2020
|
10.26730
|
5
|
9/2/2020
|
10.60500
|
-8
|
9/3/2020
|
11.05500
|
6
|
9/3/2020
|
11.05500
|
9
|
9/4/2020
|
11.39000
|
-26
|
9/9/2020
|
10.75000
|
-8
|
9/10/2020
|
10.26730
|
53
|
9/10/2020
|
10.46500
|
12
|
9/11/2020
|
10.60400
|
14
|
9/11/2020
|
10.60400
|
18
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
16
|
9/11/2020
|
10.60400
|
21
|
9/11/2020
|
10.60400
|
26
|
9/11/2020
|
10.60400
|
66
|
9/11/2020
|
10.60400
|
12
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
52
|
9/11/2020
|
10.60400
|
45
|
9/11/2020
|
10.60400
|
14
|
9/11/2020
|
10.60400
|
41
|
9/11/2020
|
10.60400
|
40
|
9/11/2020
|
10.60400
|
28
|
9/11/2020
|
10.60400
|
46
|
9/11/2020
|
10.60400
|
23
|
9/11/2020
|
10.60400
|
23
|
9/11/2020
|
10.60400
|
23
|
9/11/2020
|
10.60400
|
18
|
9/11/2020
|
10.60400
|
15
|
9/11/2020
|
10.60400
|
12
|
9/11/2020
|
10.60400
|
55
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
34
|
9/11/2020
|
10.60400
|
18
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
28
|
9/11/2020
|
10.60400
|
17
|
9/11/2020
|
10.60400
|
17
|
9/11/2020
|
10.60400
|
16
|
9/11/2020
|
10.60400
|
17
|
9/11/2020
|
10.60400
|
16
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
15
|
9/11/2020
|
10.53000
|
34
|
9/11/2020
|
10.60400
|
12
|
9/11/2020
|
10.60400
|
16
|
9/11/2020
|
10.60400
|
13
|
9/11/2020
|
10.60400
|
16
|
9/11/2020
|
10.61000
|
-13
|
9/11/2020
|
10.61000
|
-21
|
9/11/2020
|
10.61000
|
-87
|
9/11/2020
|
10.61000
|
-25
|
9/14/2020
|
10.66960
|
103
|
9/15/2020
|
10.66930
|
16
|
9/16/2020
|
11.07500
|
101
|
9/18/2020
|
11.14820
|
31
|
9/18/2020
|
11.05500
|
156
|
9/21/2020
|
10.22000
|
14
|
9/22/2020
|
10.12380
|
97
|
9/22/2020
|
9.98500
|
-161
|
9/28/2020
|
11.51170
|
311
|
9/29/2020
|
11.15620
|
-835
|
9/30/2020
|
11.34500
|
6
|
10/1/2020
|
11.20330
|
11
|
10/2/2020
|
11.96500
|
12
|
10/2/2020
|
11.96500
|
12
|
10/5/2020
|
11.93500
|
23
|
10/5/2020
|
11.90600
|
15
|
10/5/2020
|
11.77500
|
-17
|
10/7/2020
|
12.66000
|
-42
|
10/8/2020
|
13.27000
|
-100
|
10/9/2020
|
13.20820
|
17
|
10/12/2020
|
13.48000
|
-27
|
10/13/2020
|
13.78000
|
10
|
10/13/2020
|
13.83240
|
-10
|
10/15/2020
|
13.98820
|
10
|
10/15/2020
|
13.98500
|
-11
|
10/19/2020
|
14.19760
|
9
|
10/19/2020
|
14.11870
|
-101
|
10/19/2020
|
14.11870
|
-98
|
10/19/2020
|
14.11870
|
-23
|
10/19/2020
|
14.11870
|
-31
|
10/19/2020
|
14.11870
|
-45
|
10/19/2020
|
14.11870
|
-150
|
10/19/2020
|
14.11870
|
-48
|
10/19/2020
|
14.11870
|
-20
|
10/19/2020
|
14.11870
|
-21
|
10/19/2020
|
14.11870
|
-6
|
10/19/2020
|
14.11870
|
-24
|
10/19/2020
|
14.11870
|
-7
|
10/19/2020
|
14.11870
|
-6
|
10/19/2020
|
14.11870
|
-29
|
10/20/2020
|
14.31380
|
-24
|
10/20/2020
|
14.31380
|
-31
|
10/20/2020
|
14.31380
|
-22
|
10/20/2020
|
14.31380
|
-28
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-63
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-9
|
10/20/2020
|
14.31380
|
-4
|
10/20/2020
|
14.31380
|
-3
|
10/20/2020
|
14.31380
|
-10
|
10/20/2020
|
14.31380
|
-21
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-12
|
10/20/2020
|
14.31380
|
-25
|
10/20/2020
|
14.31380
|
-16
|
10/20/2020
|
14.31380
|
-23
|
10/20/2020
|
14.31380
|
-80
|
10/20/2020
|
14.31380
|
-78
|
10/20/2020
|
14.31380
|
-11
|
10/20/2020
|
14.31380
|
-16
|
10/20/2020
|
14.31380
|
-9
|
10/20/2020
|
14.31380
|
-24
|
10/20/2020
|
14.31380
|
-4
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-70
|
10/20/2020
|
14.31380
|
-70
|
10/20/2020
|
14.31380
|
-16
|
10/20/2020
|
14.31380
|
-84
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-10
|
10/20/2020
|
14.31380
|
-39
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-34
|
10/20/2020
|
14.32180
|
-32
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-52
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-31
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-20
|
10/20/2020
|
14.31380
|
-17
|
10/20/2020
|
14.31380
|
-114
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-9
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-18
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-23
|
10/20/2020
|
14.31380
|
-50
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-25
|
10/20/2020
|
14.31380
|
-14
|
10/20/2020
|
14.31380
|
-6
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-14
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-21
|
10/20/2020
|
14.31380
|
-50
|
10/20/2020
|
14.31380
|
-28
|
10/20/2020
|
14.31380
|
-30
|
10/20/2020
|
14.31380
|
-28
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-23
|
10/20/2020
|
14.31380
|
-8
|
10/20/2020
|
14.31380
|
-24
|
10/20/2020
|
14.31380
|
-39
|
10/20/2020
|
14.31380
|
-21
|
10/20/2020
|
14.31380
|
-7
|
10/20/2020
|
14.31380
|
-15
|
10/20/2020
|
14.31380
|
-28
|
10/20/2020
|
14.31380
|
-5
|
10/20/2020
|
14.31380
|
-16
|
10/20/2020
|
14.31380
|
-17
|
10/20/2020
|
14.31380
|
-23
|
10/20/2020
|
14.31380
|
-25
|
10/21/2020
|
13.82000
|
39
|
10/21/2020
|
13.82000
|
19
|
10/21/2020
|
13.82320
|
-35
|
10/21/2020
|
13.82320
|
-59
|
10/21/2020
|
13.82320
|
-1
|
10/21/2020
|
13.82320
|
-37
|
10/21/2020
|
13.82320
|
-53
|
10/21/2020
|
13.82320
|
-16
|
10/21/2020
|
13.82320
|
-144
|
10/21/2020
|
13.82010
|
-206
|
10/22/2020
|
13.89560
|
-54
|
10/22/2020
|
13.89560
|
-31
|
10/22/2020
|
13.89560
|
-21
|
10/22/2020
|
13.89560
|
-62
|
10/22/2020
|
13.89560
|
-41
|
10/22/2020
|
13.89560
|
-16
|
10/23/2020
|
14.03290
|
493
|
10/26/2020
|
13.64000
|
51
|
10/26/2020
|
13.63330
|
-22
|
10/27/2020
|
13.97000
|
-322
|
10/28/2020
|
13.28000
|
100
|
10/28/2020
|
13.52240
|
-48
|
10/28/2020
|
13.40820
|
-322
|
10/28/2020
|
13.40820
|
-322
|
10/29/2020
|
13.08000
|
100
|
10/29/2020
|
13.23930
|
-3
|
10/29/2020
|
13.23930
|
-40
|
10/29/2020
|
13.23930
|
-55
|
10/29/2020
|
13.23930
|
-1
|
10/29/2020
|
13.23930
|
-22
|
10/29/2020
|
13.23930
|
-31
|
10/29/2020
|
13.23930
|
-39
|
10/29/2020
|
13.23930
|
-19
|
10/29/2020
|
13.23930
|
-493
|
10/30/2020
|
12.95000
|
-62
|
11/2/2020
|
13.39000
|
11
|
11/2/2020
|
13.50760
|
9
|
11/2/2020
|
13.47500
|
-58
|
11/2/2020
|
13.39000
|
-192
|
11/3/2020
|
13.97060
|
-99
|
11/4/2020
|
14.13240
|
-44
|
11/4/2020
|
14.03500
|
-14
|
11/5/2020
|
14.26500
|
-500
|