Nelson Peltz - 15 May 2021 Form 4 Insider Report for Invesco Ltd. (IVZ)

Role
Director
Signature
Daniel R. Marx, Attorney-In-Fact for Nelson Peltz
Issuer symbol
IVZ
Transactions as of
15 May 2021
Net transactions value
$0
Form type
4
Filing time
18 May 2021, 17:53:48 UTC
Next filing
20 May 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction IVZ Common Shares Award $0 +5,807 +241% $0.000000 8,216 15 May 2021 Direct
holding IVZ Common Shares 36,739,343 15 May 2021 Please see explanation below F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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
F2 (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.

Remarks:

This Form 4 reports the acquisition by the reporting person of Common Shares resulting from an equity 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.