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

Role: President and CEO, Director
Signature: /s/ Richard J. Hart, Attorney-in-fact
Issuer symbol: AAMI
Transactions as of: 15 Dec 2021
Net transactions value: -$13,525,477
Form type: 4/A - Amendment
Filing time: 14 Jan 2022, 15:11:56 UTC
Date Of Original Report: 03 Jan 2022
Previous filing: 09 Dec 2021
Next filing: 03 Jan 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	BSIG	Common Stock	Sale	$1,905,335	-71,000	-26%	$26.84	201,967	15 Dec 2021	Direct	F1, F2
transaction	BSIG	Common Stock	Sale	$1,913,677	-71,000	-35%	$26.95	130,967	16 Dec 2021	Direct	F1, F3
transaction	BSIG	Common Stock	Options Exercise	$3,750,000	+375,000	+286%	$10.00	505,967	31 Dec 2021	Direct
transaction	BSIG	Common Stock	Tax liability	$6,397,678	-246,824	-49%	$25.92	259,143	31 Dec 2021	Direct
transaction	BSIG	Common Stock	Sale	$3,308,787	-128,176	-49%	$25.81	130,967	31 Dec 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	$3,750,000	-375,000	-33%	$10.00	750,000	31 Dec 2021	Common Stock	375,000	$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.