Suren Rana - Dec 15, 2021 Form 4/A - Amendment Insider Report for BrightSphere Investment Group Inc. (BSIG)

Role
President and CEO, Director
Signature
/s/ Richard J. Hart, Attorney-in-fact
Stock symbol
BSIG
Transactions as of
Dec 15, 2021
Transactions value $
-$13,525,477
Form type
4/A - Amendment
Date filed
1/14/2022, 03:11 PM
Date Of Original Report
Jan 3, 2022
Previous filing
Dec 9, 2021
Next filing
Jan 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BSIG Common Stock Sale -$1.91M -71K -26.01% $26.84 202K Dec 15, 2021 Direct F1, F2
transaction BSIG Common Stock Sale -$1.91M -71K -35.15% $26.95 131K Dec 16, 2021 Direct F1, F3
transaction BSIG Common Stock Options Exercise $3.75M +375K +286.33% $10.00 506K Dec 31, 2021 Direct
transaction BSIG Common Stock Tax liability -$6.4M -247K -48.78% $25.92 259K Dec 31, 2021 Direct
transaction BSIG Common Stock Sale -$3.31M -128K -49.46% $25.81 131K Dec 31, 2021 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BSIG Employee Stock Option Options Exercise -$3.75M -375K -33.33% $10.00 750K Dec 31, 2021 Common Stock 375K $10.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This Form 4 is amended to reflect sales by the reporting person on December 15, 2021 and December 16, 2021 that were inadvertently omitted due to a clerical error.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.52 to $27.225, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.77 to $27.22, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.56 to $25.99, inclusive. The reporting person undertakes to provide to BrightSphere Investment Group Inc., any securityholder of BrightSphere Investment Group Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.
F5 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.