0001209191-21-029606.txt : 20210503 0001209191-21-029606.hdr.sgml : 20210503 20210503181051 ACCESSION NUMBER: 0001209191-21-029606 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210429 FILED AS OF DATE: 20210503 DATE AS OF CHANGE: 20210503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PELTZ NELSON CENTRAL INDEX KEY: 0000928265 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13908 FILM NUMBER: 21885067 MAIL ADDRESS: STREET 1: 223 SUNSET AVENUE STREET 2: SUITE 223 CITY: PALM BEACH STATE: FL ZIP: 33480 FORMER NAME: FORMER CONFORMED NAME: NELSON PELTZ DATE OF NAME CHANGE: 19940810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TRIAN FUND MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001345471 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13908 FILM NUMBER: 21885066 BUSINESS ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-451-3000 MAIL ADDRESS: STREET 1: 280 PARK AVENUE STREET 2: 41ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: Trian Fund Management, L.P. DATE OF NAME CHANGE: 20051128 ISSUER: 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-04-29 0 0000914208 Invesco Ltd. IVZ 0000928265 PELTZ NELSON 223 SUNSET AVENUE, SUITE 223 PALM BEACH FL 33480 1 0 0 0 0001345471 TRIAN FUND MANAGEMENT, L.P. 280 PARK AVENUE, 41W NEW YORK NY 10017 1 0 0 0 Common Shares 2021-04-29 4 A 0 1311 0.00 A 2409 D Common Shares 36739343 I Please see explanation below Trian Fund Management, L.P. ("Trian Management") serves as the management company for Trian Partners AM Holdco, Ltd. ("Trian AM Holdco") and as such determines the investment and voting decisions of Trian AM Holdco with respect to the shares of the Issuer held by it. Mr. Peltz is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of Trian AM Holdco. Accordingly, Mr. Peltz and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by Trian AM Holdco (FN 1, contd.) The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Peltz is a director of the Issuer. This Form 4 reports the acquisition by the reporting person of Common Shares resulting from a quarterly grant to the registrant's non-executive directors. The shares which are reported on this Form 4 as being indirectly held by Mr. Peltz and Trian Management through their relationship with Trian AM Holdco are also reported on the Form 4 filed by Edward P. Garden and Trian Management as being indirectly held by them, and represent the same shares. Daniel R. Marx, Attorney-In-Fact for Nelson Peltz 2021-05-03 Daniel R. Marx, Attorney-In-Fact for Edward P. Garden, member of the general partner of Trian Fund Management, L.P. 2021-05-03