Suren Rana - Feb 13, 2024 Form 4 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: Feb 13, 2024
Transactions value $: -$8,893,231
Form type: 4
Date filed: 2/15/2024, 04:35 PM
Previous filing: Feb 10, 2022
Next filing: Oct 2, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	BSIG	Common Stock	Options Exercise	$4.97M	+414K	+316.11%	$12.00	545K	Feb 13, 2024	Direct
transaction	BSIG	Common Stock	Tax liability	-$6.61M	-304K	-55.79%	$21.75	241K	Feb 13, 2024	Direct
transaction	BSIG	Common Stock	Sale	-$2.28M	-110K	-45.64%	$20.74	131K	Feb 14, 2024	Direct	F1

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	-$4.97M	-414K	-100%	$12.00	0	Feb 13, 2024	Common Stock	414K	$12.00	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.28 to $21.12, 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 (1) to this Form 4.
F2	On January 22, 2019, the reporting person was granted an option to purchase 2,070,000 ordinary shares of BrightSphere Investment Group plc. The option vested in five equal annual installments of 414,000 ordinary shares over a four-year period with the first tranche having vested immediately, and the following tranches having vested on each of January 22, 2020, January 22, 2021, January 22, 2022 and January 22, 2023.

Content

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.28 to $21.12, 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 (1) to this Form 4.

On January 22, 2019, the reporting person was granted an option to purchase 2,070,000 ordinary shares of BrightSphere Investment Group plc. The option vested in five equal annual installments of 414,000 ordinary shares over a four-year period with the first tranche having vested immediately, and the following tranches having vested on each of January 22, 2020, January 22, 2021, January 22, 2022 and January 22, 2023.