मूलभूत आँकड़े
| LEI | 5493004FTLQNQTBOP608 |
| CIK | 1611702 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to OM Asset Management Plc
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| January 18, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on January 31, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 15, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 26, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 15, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 26, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 15, 2019 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 26, 2019, pursuant to the provisions of Rule 12d2-2 (a). |
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| July 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 2, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporat |
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| June 3, 2019 |
DEFM14A 1 defm14a-projecthomecoming.htm DEFM14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission |
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| May 23, 2019 |
8-K 1 form8-kxpaulsonvotingagree.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 ( |
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| May 23, 2019 |
VOTING AGREEMENT VOTING AGREEMENT (this “Agreement”), dated as of May 17, 2019, among BrightSphere Investment Group plc, a company organized under the laws of England and Wales (the “Company”), and Paulson & Co. |
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| May 9, 2019 |
BSIG / BrightSphere Investment Group plc 10-Q Quarterly Report 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 2, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2019 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identificati |
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| May 2, 2019 |
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| May 2, 2019 |
BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2019 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2019 • U.S. GAAP earnings per share of $0.54 for the quarter, up 145.5% from Q4 2018 • ENI earnings per share of $0.40 for the quarter, a decrease of (7.0)% from Q4 2018 • AUM of $222.3 billion at March 31, 2019, up 7.8% from December 31, 2018 • |
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| April 18, 2019 |
BSIG / BrightSphere Investment Group plc 10-K/A (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3668 BRIGHTSPHERE I |
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| April 5, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 5, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpora |
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| March 12, 2019 |
8-K 1 form8-kxsx4announcementmar.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 |
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| March 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpora |
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| March 4, 2019 |
OMAM / OM Asset Management Plc / PAULSON & CO. INC. - MARCH 4, 2019 Activist Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13D - 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a) (Amendment No.)* BrightSphere Investment Group plc (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinberg, |
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| February 28, 2019 |
EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made this 30th day of December, 2018 by and between BrightSphere Inc. |
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| February 28, 2019 |
BRIGHTSPHERE INVESTMENT GROUP PLC OPTION AWARD AGREEMENT THIS OPTION AWARD AGREEMENT (this “Agreement”), is entered into as of January 22, 2019, by and between BrightSphere Investment Group plc, a public company limited by shares and incorporated under the laws of England and Wales, with registered number 09062478 (the “Company”), and Suren Rana (the “Participant”). |
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| February 28, 2019 |
BSIG / BrightSphere Investment Group plc 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3668 BRIGHTSPHERE Inv |
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| February 28, 2019 |
Subsidiaries of BrightSphere Investment Group plc Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group plc, a company incorporated and registered in England and Wales with company number 09062478, had the domestic and international subsidiaries shown below as of December 31, 2018. Subsidiary Jurisdiction BrightSphere US, Inc. Delaware BrightSphere Inc. Delaware BrightSphere International, Ltd. United Kingdom BrightSphere Capital LLC Delaware A |
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| February 28, 2019 |
EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is effective as of the 20th day of January, 2019 by and between BrightSphere Inc. |
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| February 26, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| February 26, 2019 |
Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Repurchases Additional 3.9 Million Shares Held by HNA Capital; Paulson & Co. Inc. Completes Minority Stake Acquisition London, February 26, 2019 - BrightSphere Investment Group plc (NYSE: BSIG), a global, diversified multi-Affiliate asset management company, today announced that it repurchased 3,886,625 shares held by HNA Capital (“HN |
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| February 25, 2019 |
OMAM / OM Asset Management Plc / HNA Group Co., Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* BrightSphere Investment Group plc (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) G67506108 (CUSIP Number) Enrico Marini Fichera HNA Capital (U.S.) Holding LLC c/o HNA Capital International 245 Park Avenue Floo |
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| February 21, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| February 21, 2019 |
Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere to Repurchase 4.1 Million Shares Held by HNA Capital Accretive Transaction Enhances Existing Share Repurchase Activity London, February 21, 2019 - BrightSphere Investment Group plc (NYSE: BSIG), a global, diversified multi-Affiliate asset management company, today announced that it will repurchase 4.1 million shares held by HNA Capita |
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| February 7, 2019 |
Exhibit 99.1 Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2018 • U.S. GAAP earnings per share of $0.22 for the quarter, compared to $(0.45) for the 2017 period, and $1.26 for the year compared to $0.04 for full-year 2017 • ENI earnings per share of $0.43 for the quarter, down (2.3)% compared to the |
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| February 7, 2019 |
bsigearningspresentation Exhibit 99.2 Exhibit 99.2 Q4 2018 EARNINGS PRESENTATION February 7, 2019 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” |
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| February 7, 2019 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2019 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identif |
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| February 5, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorp |
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| January 23, 2019 |
8-K 1 form8-kxranaappointmentjan.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2019 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-11799 |
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| January 2, 2019 |
BSIG / BrightSphere Investment Group plc S-8 As filed with the Securities and Exchange Commission on January 2, 2019. File No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BRIGHTSPHERE Investment Group plc (Exact Name of Registrant as Specified in Its Charter) England and Wales 98-1179929 (State or Other Jurisdiction of Incorporation or (I.R.S. Emp |
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| January 2, 2019 |
Exhibit 4.1 ` BRIGHTSPHERE INVESTMENT GROUP PLC OPTION AWARD AGREEMENT THIS OPTION AWARD AGREEMENT (this “Agreement”), is entered into as of December 30, 2018 (the “Grant Date”), by and between BrightSphere Investment Group plc, a public company limited by shares and incorporated under the laws of England and Wales, with registered number 09062478 (the “Company”), and Guang Yang (the “Participant” |
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| December 18, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 15, 2018 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| December 3, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2018 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| December 3, 2018 |
Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Names Guang Yang as Executive Chair of the Board of Directors James Ritchie Retires from BrightSphere’s Board Bob Chersi Appointed as Lead Independent Director LONDON, December 3, 2018 — BrightSphere Investment Group plc (NYSE: BSIG) today announced that Guang Yang has been named Executive Chair of the Board of Directors, |
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| November 19, 2018 |
Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 Paulson & Co. to Purchase Position in BrightSphere Held by HNA Capital U.S.; Expected to Own 24.95% of BrightSphere Following Completion of the Transaction London, November 19, 2018 - BrightSphere Investment Group plc (NYSE: BSIG), a global, diversified multi-boutique asset management company, is pleased to announce that its Board of |
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| November 19, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2018 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| November 19, 2018 |
Exhibit E Execution Version SHARE PURCHASE AGREEMENT BY AND AMONG HNA EAGLE HOLDCO LLC, HNA CAPITAL (U. |
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| November 19, 2018 |
Exhibit F Execution Version SHARE PURCHASE AGREEMENT BY AND AMONG HNA EAGLE HOLDCO LLC, HNA CAPITAL (U. |
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| November 19, 2018 |
OMAM / OM Asset Management Plc / HNA Group Co., Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* BrightSphere Investment Group plc (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) G67506108 (CUSIP Number) Enrico Marini Fichera HNA Capital (U.S.) Holding LLC c/o HNA Capital International 1180 Avenue of the A |
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| November 8, 2018 |
BSIG / BrightSphere Investment Group plc 10-Q (Quarterly Report) 10-Q 1 brightsphere-2018930x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transi |
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| November 1, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2018 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identif |
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| November 1, 2018 |
Results of Operations and Financial Condition 8-K 1 bsig-q3x20188xkearningsrel.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2018 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Comm |
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| November 1, 2018 |
BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2018 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2018 • U.S. GAAP EPS of $0.51 per share, up 200.0% from Q3 2017; U.S. GAAP earnings of $54.0 million, up 188.8% • Economic net income EPS of $0.46 per share, an increase of 7.0% from Q3 2017 and economic net income of $48.8 million, an incre |
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| November 1, 2018 |
bsigearningspresentation Exhibit 99.2 Q3 2018 EARNINGS PRESENTATION November 1, 2018 1 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” |
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| September 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 7, 2018 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incor |
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| August 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 15, 2018 BrightSphere Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpo |
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| August 9, 2018 |
BSIG / BrightSphere Investment Group plc 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 2, 2018 |
BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2018 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2018 • U.S. GAAP EPS of $0.02 per share, down (81.8)% from Q2 2017; U.S. GAAP earnings of $2.1 million, down (83.7)% • Economic net income EPS of $0.47 per share, an increase of 11.9% from Q2 2017 and economic net income of $50.5 million, an inc |
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| August 2, 2018 |
bsigearningspresentation Exhibit 99.2 Q2 2018 EARNINGS PRESENTATION August 2, 2018 1 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “ |
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| August 2, 2018 |
Results of Operations and Financial Condition 8-K 1 bsig-q2x20188xkearningsrel.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2018 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commis |
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| June 21, 2018 |
8-K 1 a8-kx2018agmvotingresults.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 19, 2018 BRIGHTSPHERE Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 ( |
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| May 10, 2018 |
BSIG / BrightSphere Investment Group plc 10-Q (Quarterly Report) 10-Q 1 brightsphere-2018331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition |
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| May 3, 2018 |
Results of Operations and Financial Condition 8-K 1 bsig-q1x20188xkearningsrel.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2018 BRIGHTSPHERE Investment Group plc England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commissio |
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| May 3, 2018 |
bsigearningspresentation 1 Q1 2018 EARNINGS PRESENTATION May 3, 2018 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “e |
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| May 3, 2018 |
BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2018 EX-99.1 2 bsig-2018331xpressreleasee.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2018 • U.S. GAAP EPS of $0.52 per share, up 173.7% from Q1 2017; U.S. GAAP earnings of $57.3 million, up 167.8% • Economic net income EPS of $0.50 per share, an increase of 47.1% from Q1 2017 |
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| April 30, 2018 |
BSIG / BrightSphere Investment Group plc DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 18, 2018 |
BSIG / BrightSphere Investment Group plc PRE 14A Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 26, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2018 BrightSphere Investment Group plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpor |
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| March 26, 2018 |
OMAM Rebrands as BrightSphere Investment Group and Announces New Share Repurchase Authorization Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Rebrands as BrightSphere Investment Group and Announces New Share Repurchase Authorization London, March 26, 2018 - BrightSphere Investment Group plc (NYSE: BSIG) a global, diversified multi-boutique asset management company, today completed the previously announced transition from its prior brand name, OMAM, and going forward will conduct it |
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| March 2, 2018 |
Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Announces Plans to Rebrand as BrightSphere Investment Group plc Stephen H. Belgrad Officially Assumes CEO Role OMAM to become BrightSphere Investment Group (BSIG) London, March 2, 2018 - OM Asset Management plc (NYSE: OMAM), a global, diversified multi-boutique asset management company, today announced that it will be changing its brand name |
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| March 2, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 2, 2018 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Com |
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| February 28, 2018 |
EX-10.10 3 acadianllcagreementex1010.htm EXHIBIT 10.10 Exhibit 10.10 SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF ACADIAN ASSET MANAGEMENT LLC Dated as of February 26, 2018 TABLE OF CONTENTS Page ARTICLE I FORMATION 1 Section 1.1 Continuation 1 Section 1.2 Company Name 1 Section 1.3 The Certificate of Formation, Etc 2 Section 1.4 Purpose 2 Section 1.5 Powers 2 Section 1.6 Of |
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| February 28, 2018 |
Subsidiaries of OM Asset Management plc Exhibit 21.1 SUBSIDIARIES OM Asset Management Limited, a company incorporated and registered in England and Wales with company number 09062478, had the domestic and international subsidiaries shown below as of December 31, 2017. Subsidiary Jurisdiction OMAM US, Inc. Delaware OMAM UK, Limited United Kingdom Old Mutual (US) Holdings Inc. Delaware Old Mutual Asset Management International, Ltd. Unite |
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| February 28, 2018 |
Exhibit 10.9 BARROW HANLEY, MEWHINNEY & STRAUSS, LLC AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT -1- Barrow, Hanley, Mewhinney & Strauss, LLC AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT This Amended and Restated Limited Liability Company Agreement (this “Agreement”), effective as of February 26, 2018, is entered into by and among OMAM Intermediary (BHMS), LLC, a Delaware |
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| February 28, 2018 |
OMAA / OM Asset Management Plc 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3668 OM Asset Managem |
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| February 14, 2018 |
SC 13G/A 1 sc13ga.htm SCHEDULE 13G - AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* OM Asset Management plc (Name of Issuer) Ordinary Shares, nominal value $0.001 per share (Title of Class of Securities) G67506 10 8 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing |
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| February 8, 2018 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| February 1, 2018 |
EX-99.2 4 omamearningspresentation.htm EXHIBIT 99.2 Q4 2017 EARNINGS PRESENTATION February 1, 2018 Exhibit 99.2 Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “m |
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| February 1, 2018 |
Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made this 31st day of January 2018 by and between OMAM Inc., a Delaware corporation with an address at 200 Clarendon Street, 53rd Floor, Boston, Massachusetts 02116 (“OMAM”) and Stephen H. Belgrad (the “Executive”). 1. DEFINITIONS. In this Agreement, unless the context otherwise requires: (i) The following terms shall |
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| February 1, 2018 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2018 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| February 1, 2018 |
EX-99.1 3 omam-123117xpressreleaseex.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2017 Company Appoints Stephen H. Belgrad as President and Chief Executive Officer • U.S. GAAP net loss of $(48.8) million ($(0.45) per share) for the quarter, compared to net income of $ |
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| November 29, 2017 |
Exhibit Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Announces Alignment of Global Distribution with Affiliate Management to Support Next Leg of Growth London - November 29, 2017 - OM Asset Management plc (NYSE: OMAM) announced today that, effective December 31, 2017, its Global Distribution efforts will be further aligned with Affiliate Management by combining the functions. ?Given the |
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| November 29, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorp |
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| November 21, 2017 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| November 17, 2017 |
Redemption Agreement dated November 17, 2017 by and among OMAM Inc., OMAM (HFL) Inc. and Heitman LLC Exhibit Exhibit 10.1 REDEMPTION AGREEMENT by and among OMAM (HFL) INC., a Delaware corporation, HEITMAN LLC, a Delaware limited liability company, and, for the limited purposes set forth herein, OMAM INC., a Delaware corporation November 17, 2017 Table of Contents Page ARTICLE I. DEFINITIONS 2 Section 1.01 Defined Terms 2 ARTICLE II. SALE AND REDEMPTION 9 Section 2.01 Sale and Redemption of Seller |
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| November 17, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorp |
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| November 17, 2017 |
EX-1.1 2 ex11omamequityunderwriting.htm EXHIBIT 1.1 EXHIBIT 1.1 OM Asset Management plc (a public limited company formed under the laws of England and Wales) 6,039,630 Ordinary Shares UNDERWRITING AGREEMENT Dated: November 15, 2017 OM ASSET MANAGEMENT PLC (a public limited company formed under the laws of England and Wales) 6,039,630 Ordinary Shares UNDERWRITING AGREEMENT November 15, 2017 Morgan |
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| November 16, 2017 |
6,039,630 Ordinary Shares OM Asset Management plc Ordinary Shares Document Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) 6,039,630 Ordinary Shares OM Asset Management plc Ordinary Shares All of the ordinary shares offered by this prospectus are being sold by OM Group (UK) Limited, which we refer to as OMGUK or the Selling Shareholder. We are not selling any ordinary shares under this pr |
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| November 15, 2017 |
BSIG / BrightSphere Investment Group plc / HNA Group Co., Ltd. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* OM Asset Management plc (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) G67506 10 8 (CUSIP Number) Suren S. Rana HNA Capital (U.S.) Holding LLC c/ HNA Capital International 245 Park Avenue 40th Floor New York, |
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| November 14, 2017 |
Subject to Completion Preliminary Prospectus Supplement, dated November 14, 2017 Document Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these |
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| November 14, 2017 |
Regulation FD Disclosure, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorp |
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| November 13, 2017 |
OMAM Announces Completion of Final Equity Purchase by HNA Capital US Exhibit Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Announces Completion of Final Equity Purchase by HNA Capital US London - November 10, 2017 - OM Asset Management plc (NYSE: OMAM) announced the closing of the second tranche of the two-step sale of a minority interest in OMAM by Old Mutual plc to HNA Capital US. The second tranche consists of 15,960,553 OMAM shares at a p |
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| November 13, 2017 |
8-K 1 form8-kxhnatranche2xnovemb.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State |
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| November 9, 2017 |
Exhibit 10.28 TRANSITION SEVERANCE AGREEMENT THIS TRANSITION SEVERANCE AGREEMENT (the “Agreement”) is made this day of August 2017, by and between OMAM Inc., (“the Company”) and , (“the Executive”). It is intended to provide enhanced severance for a limited duration, for the purpose of retaining key talent during the Company’s leadership transition. In consideration of the mutual agreements herein |
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| November 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 2, 2017 |
1 Q3 2017 EARNINGS PRESENTATION November 2, 2017 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” |
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| November 2, 2017 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| November 2, 2017 |
OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2017 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2017 • U.S. GAAP EPS of $0.17 per share, down (39.3)% from Q3 2016; U.S. GAAP earnings of $18.7 million, down (45.0)% • Economic net income EPS of $0.43 per share, an increase of 34.4% from Q3 2016 and economic net income of $46.7 million, an increa |
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| August 18, 2017 |
8-K 1 form8-kxtransitionseveranc.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State o |
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| August 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-36683 CUSIP Number: G67506108 (Check one): o Form 10-K o Form 20-F o Form 11-K ? Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2017 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Trans |
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| August 3, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Co |
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| August 3, 2017 |
OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2017 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2017 • U.S. GAAP EPS of $0.11 per share, down (63.3)% from Q2 2016; U.S. GAAP earnings of $12.9 million, down (64.5)% • Economic net income EPS of $0.42 per share, an increase of 40.0% from Q2 2016 • Economic net income of $46.6 million, an increase of |
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| August 3, 2017 |
1 Q2 2017 EARNINGS PRESENTATION August 3, 2017 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” a |
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| July 25, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* OM Asset Management plc (Name of Issuer) Ordinary Shares, nominal value $0.001 per share (Title of Class of Securities) G67506 10 8 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| July 25, 2017 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) Exhibit 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) This JOINT FILING AGREEMENT, dated as of July 24, 2017, is entered into by and between OM Group (UK) Ltd. |
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| June 30, 2017 |
OM Asset Management 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporat |
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| May 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Comm |
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| May 30, 2017 |
Joint Filer Information Name of Joint Filer: Aleron Investments, Ltd. Address of Joint Filer: 23/F HNA Plaza, Jia No. 26 Xiaoyun Road, Chaoyang District, Beijing P.R. China, 100125 Relationship of Joint Filer to Issuer 10% Owner (1) Issuer Name and Ticker or Trading Symbol: OM Asset Management plc (OMAM) Date of Event Requiring Statement (Month/Day/Year): May 19, 2017 Designated Filer: HNA Capital |
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| May 30, 2017 |
Joint Filer Information Name of Joint Filer: HNA Group Co., Ltd. Address of Joint Filer: HNA Building No. 7 Guoxing Road Haikou, People's Republic of China 570203 Relationship of Joint Filer to Issuer 10% Owner (1) Issuer Name and Ticker or Trading Symbol: OM Asset Management plc (OMAM) Date of Event Requiring Statement (Month/Day/Year): May 19, 2017 Designated Filer: HNA Capital (U.S.) Holding LL |
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| May 30, 2017 |
Joint Filer Information Name of Joint Filer: HNA Capital (Hong Kong) Holding Co., Ltd. Address of Joint Filer: 23/F., Arion Commercial Centre, 2-12 Queen's Road West, Hong Kong Relationship of Joint Filer to Issuer 10% Owner (1) Issuer Name and Ticker or Trading Symbol: OM Asset Management plc (OMAM) Date of Event Requiring Statement (Month/Day/Year): May 19, 2017 Designated Filer: HNA Capital (U. |
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| May 30, 2017 |
Joint Filer Information Name of Joint Filer: HNA Eagle Holdco LLC Address of Joint Filer: 850 Third Avenue 16th Floor, New York, NY 10022 Relationship of Joint Filer to Issuer 10% Owner (1) Issuer Name and Ticker or Trading Symbol: OM Asset Management plc (OMAM) Date of Event Requiring Statement (Month/Day/Year): May 19, 2017 Designated Filer: HNA Capital (U. |
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| May 30, 2017 |
Joint Filer Information Name of Joint Filer: HNA Capital Group Co., Ltd. Address of Joint Filer: HNA Building No. 7 Guoxing Road Haikou, People's Republic of China 570203 Relationship of Joint Filer to Issuer 10% Owner (1) Issuer Name and Ticker or Trading Symbol: OM Asset Management plc (OMAM) Date of Event Requiring Statement (Month/Day/Year): May 19, 2017 Designated Filer: HNA Capital (U.S.) Ho |
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| May 22, 2017 |
EX-99.B 3 d389473dex99b.htm EXHIBIT B Exhibit B Execution Version SHARE PURCHASE AGREEMENT by and among HNA CAPITAL (U.S.) HOLDING LLC, OLD MUTUAL PLC and OM GROUP (UK) LIMITED DATED AS OF MARCH 24, 2017 TABLE OF CONTENTS Page ARTICLE I SALE AND PURCHASE OF THE COMPANY INTERESTS 1.1 Sale and Purchase of the Company Interests 10 1.2 Purchase Consideration 10 1.3 The Closings 11 1.4 Deliveries at th |
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| May 22, 2017 |
EX-99.D 4 d389473dex99d.htm EXHIBIT D Exhibit D Execution Version MARGIN LOAN AGREEMENT dated as of May 11, 2017 among HNA EAGLE HOLDCO LLC, as Borrower, and THE LENDERS PARTY HERETO FROM TIME TO TIME, and JPMORGAN CHASE BANK, N.A., LONDON BRANCH, as Administrative Agent and Calculation Agent TABLE OF CONTENTS Page ARTICLE 1. DEFINITIONS AND ACCOUNTING TERMS Section 1.01 Certain Defined Terms 1 Se |
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| May 22, 2017 |
OMAM / OM Asset Management Plc / HNA Group Co., Ltd. - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934* OM Asset Management plc (Name of Issuer) Ordinary Shares, par value $0.001 per share (Title of Class of Securities) G67506108 (CUSIP Number) Suren S. Rana HNA Capital (U.S.) Holding LLC c/ HNA Capital International 850 Third Avenue 16th Floor New York, NY 10022 +1 |
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| May 22, 2017 |
Agreement as to Joint Filing of Schedule 13D Dated: May 22, 2017 EX-99.A 2 d389473dex99a.htm EXHIBIT A Exhibit A Agreement as to Joint Filing of Schedule 13D Dated: May 22, 2017 The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement shall be filed on behalf of each of the undersigned without the necessity of filing additional joint fili |
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| May 19, 2017 |
Exhibit Exhibit 1.1 OM Asset Management plc (a public limited company formed under the laws of England and Wales) 17,300,000 Ordinary Shares UNDERWRITING AGREEMENT Dated: May 15, 2017 DB1/83663541.2 OM ASSET MANAGEMENT PLC (a public limited company formed under the laws of England and Wales) 17,300,000 Ordinary Shares UNDERWRITING AGREEMENT May 15, 2017 Morgan Stanley & Co. LLC 1585 Broadway New Y |
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| May 19, 2017 |
OM Asset Management 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporati |
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| May 17, 2017 |
17,300,000 Ordinary Shares OM Asset Management plc Ordinary Shares 424B7 1 finalprospectussuppl-secon.htm 424B7 Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) 17,300,000 Ordinary Shares OM Asset Management plc Ordinary Shares All of the ordinary shares offered by this prospectus are being sold by OM Group (UK) Limited, which we refer to as OMGUK or the Selling Shareholder. We are not sell |
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| May 15, 2017 |
Subject to Completion Preliminary Prospectus Supplement, dated May 15, 2017 Document Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these |
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| May 15, 2017 |
OM Asset Management 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporati |
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| May 15, 2017 |
Exhibit Exhibit 1.1 REPURCHASE AGREEMENT Repurchase Agreement dated as of May 14, 2017 the ?Purchase Agreement?), between OM Asset Management plc (the ?Company?), Old Mutual plc (the ?Parent?) and OM Group (UK) Limited (the ?Seller?). WHEREAS, the Seller owns a certain number of the Company?s ordinary shares, nominal value $0.001 per share (the ?Ordinary Shares?), represented by custodial receipts |
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| May 15, 2017 |
OMAM Announces Completion of Initial Equity Purchase by HNA Capital US Exhibit Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Announces Completion of Initial Equity Purchase by HNA Capital US London ? May 12, 2017 ? OM Asset Management plc (NYSE: OMAM) announced the closing of the first tranche of the two-step sale of a minority interest in OMAM by Old Mutual plc to HNA Capital US. The first tranche consists of 9.95% of OMAM shares at a price of |
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| May 5, 2017 |
OM Asset Management 10-Q (Quarterly Report) Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 4, 2017 |
OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2017 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2017 • U.S. GAAP EPS of $0.19 per share, down (26.9)% from the comparative quarter in 2016 • U.S. GAAP earnings of $21.4 million, down (30.5)% from the comparative quarter in 2016 • Economic net income EPS of $0.34 per share, an increase of 25.9% from t |
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| May 4, 2017 |
1 Q1 2017 EARNINGS PRESENTATION May 4, 2017 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” and |
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| May 4, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Commi |
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| May 2, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpora |
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| April 3, 2017 |
Document Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 27, 2017 |
OMAM Announces Sale of Minority Interest by Old Mutual plc to HNA Capital US Exhibit Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Announces Sale of Minority Interest by Old Mutual plc to HNA Capital US London - March 25, 2017 - OM Asset Management plc (NYSE: OMAM) announced that Old Mutual plc has agreed to sell a 24.95% shareholding in OMAM to HNA Capital US in a two-step transaction for gross cash consideration of approximately $446 million. Follo |
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| March 27, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 25, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpora |
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| February 22, 2017 |
OM Asset Management 10-K (Annual Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-3668 OM Asse |
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| February 22, 2017 |
Exhibit 21.1 SUBSIDIARIES OM Asset Management Limited, a company incorporated and registered in England and Wales with company number 09062478, had the domestic and international subsidiaries shown below as of December 31, 2016. Subsidiary Jurisdiction OMAM US, Inc. Delaware OMAM UK, Limited United Kingdom Old Mutual (US) Holdings Inc. Delaware Old Mutual Asset Management International, Ltd. Unite |
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| February 2, 2017 |
OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2016 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2016 • U.S. GAAP earnings of $25.3 million ($0.21 per share) for the quarter, down (31.4)% compared to the 2015 period, and $126.4 million ($1.05 per share) for the year, down (18.7)% compared to the 2015 period • Economic net income of $38 |
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| February 2, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 2, 2017 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| February 2, 2017 |
Q4 2016 EARNINGS PRESENTATION February 2, 2017 Exhibit 99.2 Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” a |
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| December 19, 2016 |
8-K 1 closing8-kxdecember2016sec.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State |
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| December 19, 2016 |
Exhibit EXECUTION VERSION OM Asset Management plc (a public limited company formed under the laws of England and Wales) 13,000,000 Ordinary Shares UNDERWRITING AGREEMENT Dated: December 13, 2016 DB1/83663541. |
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| December 14, 2016 |
13,000,000 Ordinary Shares OM Asset Management plc Ordinary Shares Document Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) 13,000,000 Ordinary Shares OM Asset Management plc Ordinary Shares All of the ordinary shares offered by this prospectus are being sold by OM Group (UK) Limited, which we refer to as OMGUK or the Selling Shareholder. We are not selling any ordinary shares under this p |
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| December 12, 2016 |
Subject to Completion Preliminary Prospectus Supplement, dated December 12, 2016 424B7 1 prospectussupplement-secon.htm 424B7 Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are n |
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| December 12, 2016 |
Exhibit Exhibit 1.1 REPURCHASE AGREEMENT Repurchase Agreement dated as of December 12, 2016 the ?Purchase Agreement?), between OM Asset Management plc (the ?Company?), Old Mutual plc (the ?Parent?) and OM Group (UK) Limited (the ?Seller?). WHEREAS, the Seller owns a certain number of the Company?s ordinary shares, nominal value $0.001 per share (the ?Ordinary Shares?), represented by custodial rec |
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| December 12, 2016 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) |
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| November 9, 2016 |
OM Asset Management 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 2, 2016 |
EX-99.1 3 ex991lmkdecember312015fs.htm EXHIBIT 99.1 Exhibit 99.1 Landmark Partners LLC and Subsidiaries Consolidated Financial Statements December 31, 2015 Landmark Partners LLC and Subsidiaries Index to Consolidated Financial Statements December 31, 2015 Page(s) Independent Auditor’s Report 1 Financial Statements Consolidated Balance Sheet as of December 31, 2015 2 Consolidated Statement of Opera |
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| November 2, 2016 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) |
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| November 2, 2016 |
UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Exhibit UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The unaudited pro forma condensed combined financial information is presented to illustrate the estimated effects of the acquisition of Landmark Partners, LLC (?Landmark?) by OM Asset Management plc (?OMAM?), which was completed on August 18, 2016. |
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| November 2, 2016 |
EX-99.2 4 ex992lmkjune302016fs.htm EXHIBIT 99.2 Exhibit 99.2 Landmark Partners LLC and Subsidiaries Consolidated Financial Statements as of June 30, 2016 and for the six months ended June 30, 2016 and 2015 (unaudited) Landmark Partners LLC and Subsidiaries Index to Consolidated Financial Statements June 30, 2016 (unaudited) Page(s) Financial Statements Consolidated Balance Sheets as of June 30, 20 |
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| November 2, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| November 2, 2016 |
1 Q3 2016 EARNINGS PRESENTATION November 2, 2016 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” |
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| November 2, 2016 |
OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2016 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2016 • U.S. GAAP earnings of $34.0 million ($0.28 per share) for the quarter and $101.1 million ($0.84 per share) for the year to date, down (2.9)% and (14.8)%, respectively, compared to 2015 periods • Economic net income of $38.0 million ($0.32 per |
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| August 23, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 18, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (C |
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| August 15, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| August 15, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| August 15, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| August 15, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| August 9, 2016 |
OM Asset Management 10-Q (Quarterly Report) Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 9, 2016 |
OM Asset Management 10-Q (Quarterly Report) Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 9, 2016 |
THIRD AMENDMENT dated as of August 3, 2016 (this “Amendment”), to the REVOLVING CREDIT AGREEMENT dated as of October 15, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among OM ASSET MANAGEMENT PLC (the “Borrower”), the LENDERS party thereto and CITIBANK, N. |
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| August 9, 2016 |
FIRST AMENDMENT dated as of September 1, 2015 (this “Amendment”), to the REVOLVING CREDIT AGREEMENT dated as of October 15, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among OM ASSET MANAGEMENT PLC (the “Borrower”), the LENDERS party thereto and CITIBANK, N. |
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| August 9, 2016 |
SECOND AMENDMENT dated as of March 1, 2016 (this “Amendment”), to the REVOLVING CREDIT AGREEMENT dated as of October 15, 2014 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among OM ASSET MANAGEMENT PLC (the “Borrower”), the LENDERS party thereto and CITIBANK, N. |
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| August 5, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 98-1179929 (State or other jurisdiction of incorporation) (IRS Employer Identification Numb |
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| August 5, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 98-1179929 (State or other jurisdiction of incorporation) (IRS Employer Identification Numb |
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| August 4, 2016 |
OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2016 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2016 • U.S. GAAP earnings of $36.3 million ($0.30 per share) for the quarter and $67.1 million ($0.56 per share) for the year to date, down (26.5)% and (19.7)%, respectively, compared to 2015 periods • Economic net income of $36.2 million ($0.30 per sha |
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| August 4, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Co |
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| August 4, 2016 |
1 Q2 2016 EARNINGS PRESENTATION August 4, 2016 Exhibit 99.2 2 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” a |
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| August 1, 2016 |
Exhibit OM Asset Management plc (a public limited company formed under the laws of England and Wales) $125,000,000 5. |
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| August 1, 2016 |
Exhibit OM ASSET MANAGEMENT PLC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee AND CITIBANK, N.A., as Securities Administrator SECOND SUPPLEMENTAL INDENTURE Dated as of August 1, 2016 To INDENTURE Dated as of July 25, 2016 5.125% Senior Notes due 2031 TABLE OF CONTENTS CLAUSE PAGE Article 1 DEFINITIONS AND PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Relationship with Inden |
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| August 1, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpora |
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| July 29, 2016 |
EX-1.1 2 exhibit11re-openingunderwr.htm EXHIBIT 1.1 Exhibit 1.1 OM Asset Management plc (a public limited company formed under the laws of England and Wales) $25,000,000 4.800% Notes due 2026 UNDERWRITING AGREEMENT Dated: July 26, 2016 OM ASSET MANAGEMENT PLC (a public limited company formed under the laws of England and Wales) $25,000,000 4.800% Notes due 2026 UNDERWRITING AGREEMENT July 26, 2016 |
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| July 29, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporat |
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| July 29, 2016 |
Computation of Ratio of Earnings to Fixed Charges Exhibit Exhibit 12.1 Computation of Ratio of Earnings to Fixed Charges The following table presents the ratio of earnings to fixed charges for us and our consolidated subsidiaries for each of the periods indicated. For the purposes of calculating the ratio of earnings to fixed charges, ?earnings? consist of income from operations before income taxes and fixed charges, net. ?Fixed charges? consist |
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| July 29, 2016 |
OM Asset Management plc 5.125% Notes due 2031 Document PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) $125,000,000 OM Asset Management plc 5. |
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| July 28, 2016 |
OM Asset Management plc 4.800% Notes due 2026 Document PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) $25,000,000 OM Asset Management plc 4. |
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| July 27, 2016 |
OM Asset Management plc 5.125% Notes due 2031 FWP 1 a2016-06fwpxretaildebtterm.htm FWP Filed Pursuant to Rule 433 Dated as of July 27, 2016 Registration Statement No. 333- 207781 Term Sheet to Preliminary Prospectus Supplement dated July 27, 2016 OM Asset Management plc 5.125% Notes due 2031 Issuer: OM Asset Management plc (“Company”) Security: 5.125% Notes due 2031 Offering Format: SEC-registered Trade Date: July 27, 2016 Expected Settlement |
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| July 27, 2016 |
Subject to Completion Preliminary Prospectus Supplement, dated July 27, 2016 Document This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. |
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| July 26, 2016 |
OM Asset Management plc $25,000,000 Reopening of 4.800% Notes due 2026 Document Filed Pursuant to Rule 433 Dated as of July 26, 2016 Registration Statement No. |
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| July 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Com |
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| July 25, 2016 |
EX-4.1 3 exhibit41baseindenture.htm EXHIBIT 4.1 Exhibit 4.1 OM ASSET MANAGEMENT PLC, as Issuer, WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee AND CITIBANK, N.A., as Securities Administrator INDENTURE DATED AS OF July 25, 2016 TABLE OF CONTENTS Page ARTICLE ONE DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01. Definitions 1 Section 1.02. Compliance Certificates and Opinio |
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| July 25, 2016 |
Exhibit 4.2 OM ASSET MANAGEMENT PLC., as Issuer and WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee AND CITIBANK, N.A., as Securities Administrator FIRST SUPPLEMENTAL INDENTURE Dated as of July 25, 2016 To INDENTURE Dated as of July 25, 2016 $4.800% Senior Notes due 2026 TABLE OF CONTENTS CLAUSE PAGE Article 1Definitions and Provisions of General Application 1 Section 1.01 Relationship with Ind |
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| July 25, 2016 |
Exhibit 1.1 OM Asset Management plc (a public limited company formed under the laws of England and Wales) $250,000,000 4.800% Notes due 2026 UNDERWRITING AGREEMENT Dated: July 20, 2016 OM ASSET MANAGEMENT PLC (a public limited company formed under the laws of England and Wales) $250,000,000 4.800% Notes due 2026 UNDERWRITING AGREEMENT July 20, 2016 Citigroup Global Markets Inc. Merrill Lynch, Pier |
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| July 22, 2016 |
OM Asset Management plc 4.800% Notes due 2026 Document PROSPECTUS SUPPLEMENT (To prospectus, dated December 4, 2015) $250,000,000 OM Asset Management plc 4. |
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| July 20, 2016 |
OM Asset Management plc 4.800%Notes due 2026 FWP 1 omamfwp-pricingtermsheet.htm FWP Filed Pursuant to Rule 433 Dated as of July 20, 2016 Registration Statement No. 333- 207781 Term Sheet to Preliminary Prospectus Supplement dated July 20, 2016 OM Asset Management plc 4.800%Notes due 2026 Issuer: OM Asset Management plc (“Company”) Security: 4.800% Notes due 2026 Offering Format: SEC-registered Trade Date: July 20, 2016 Expected Settlement Da |
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| July 20, 2016 |
Regulation FD Disclosure, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporat |
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| July 20, 2016 |
Subject to Completion Preliminary Prospectus Supplement, dated July 20, 2016 Document This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but is not complete and may be changed. |
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| July 20, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpor |
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| July 20, 2016 |
Exhibit Exhibit 2.1 PURCHASE AGREEMENT BETWEEN OMAM (2016 NEWCO) LLC, OMAM INC., LANDMARK PARTNERS, LLC, LMRK INTERMEDIARY, INC., THE SELLERS NAMED HEREIN AND THE SELLER REPRESENTATIVE NAMED HEREIN DATED AS OF JUNE 13, 2016 TABLE OF CONTENTS Page Article I. Definitions 2 1.01 Definitions 2 1.02 Interpretation; Effect 21 Article II. Purchase and Sale 22 2.01 Purchase and Sale of Purchased Interests |
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| June 14, 2016 |
Exhibit Exhibit 10.2 HEADS OF AGREEMENT These Heads of Agreement (?Heads?) are made this 13 th June 2016 BETWEEN OM GROUP (UK) LIMITED a company registered in England and Wales with number 03591572 and having it registered office at 5 th floor, Millennium Bridge House, 2 Lambeth Hill, London, EC4V 4 GG (?OMGUK?); and OM ASSET MANAGEMENT PLC a public limited company registered in England and Wales |
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| June 14, 2016 |
EX-10.1 2 a101headsofagreementplcseed.htm EXHIBIT 10.1 Exhibit 10.1 HEADS OF AGREEMENT These Heads of Agreement (“Heads”) are made this 13th June 2016 BETWEEN OLD MUTUAL PLC a public limited company registered in England and Wales with number 03591559 and having it registered office at 5th floor, Millennium Bridge House, 2 Lambeth Hill, London, EC4V 4 GG (“OM”); and OM ASSET MANAGEMENT PLC a publi |
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| June 14, 2016 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporat |
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| June 14, 2016 |
EX-99.1 4 alignedannouncementpressre.htm EXHIBIT 99.1 Exhibit 99.1 Contact for OMAM: Dukas Linden PR Ted Smith; Shree Dhond [email protected] +1 212 704 7385 Contact for Landmark Partners: Emily-Jane Finigan [email protected] +1 212 468 5668 OMAM to Acquire Majority Interest in Landmark Partners Industry Leader in Global Secondary Private Equity, Real Estate and Real Asset Invest |
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| May 27, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard J. |
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| May 18, 2016 |
EX-99.1 2 a991omamnamesxbohartxtoxb.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Names Stuart Bohart to its Board of Directors Senior Executive with Broad Experience in Asset Management London – May 17, 2016 – OM Asset Management plc (NYSE: OMAM) today announced that Stuart Bohart has been named to its Board of Directors. Mr. Bohart was President of Liquid |
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| May 18, 2016 |
SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 17, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorpo |
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| May 10, 2016 |
OM Asset Management 10-Q (Quarterly Report) SEC Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 5, 2016 |
1 Q1 2016 EARNINGS PRESENTATION May 5, 2016 Exhibit 99.22 Disclaimer Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” and o |
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| May 5, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Co |
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| May 5, 2016 |
OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2016 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2016 • Economic net income of $32.0 million ($0.27 per share) for the quarter, down (14.2)% from the comparative quarter in 2015 • U.S. GAAP earnings of $30.8 million ($0.26 per share) for the quarter, down (9.9)% from the comparative quarter in 2015 • |
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| April 7, 2016 |
DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2016 |
424B7 Filed Pursuant to Rule 424(b)(7) Registration No. 333-207781 PROSPECTUS SUPPLEMENT NO. 1 (To Prospectus dated December 4, 2015) 1,212,766 Ordinary Shares This prospectus supplement supplements the prospectus dated December 4, 2015 of OM Asset Management plc relating to the sale by certain selling shareholders of up to 80,473,625 of our ordinary shares, nominal value $0.001 per share. This pr |
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| March 21, 2016 |
PRE 14A Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 15, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Co |
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| March 15, 2016 |
BSIG / BrightSphere Investment Group plc 10-K - Annual Report - 10-K 10-K 1 omam12311510-k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File N |
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| March 15, 2016 |
SUBSIDIARIES OM Asset Management Limited, a company incorporated and registered in England and Wales with company number 09062478, had the domestic and international subsidiaries shown below as of December 31, 2015. |
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| March 15, 2016 |
Exhibit 10.13 Execution Version SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF ACADIAN ASSET MANAGEMENT LLC Dated as of March 14, 2016 SIXTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT, dated as of March 14, 2016, of ACADIAN ASSET MANAGEMENT LLC, a Delaware limited liability company (the “Company”), between OMAM Affiliate Holdings LLC or its successors or assigns (“ |
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| March 14, 2016 |
CORRESP 1 filename1.htm March 14, 2016 Via EDGAR Hugh West Accounting Branch Chief Division of Corporate Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: OM Asset Management plc Form 10-K for the Fiscal Year Ended December 31, 2014 Filed March 30, 2015 Form 10-Q for the Quarterly Period Ended September 30, 2015 Filed November 10, 2015 File Nos. 001-36683 Dea |
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| March 3, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints Richard Hart as the undersigned's true and lawful attorney-in-fact, with full power of substitution, for and in the name, place and stead of the undersigned, in any and all capacities, to: 1) prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the U. |
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| February 29, 2016 |
NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-36683 CUSIP Number: G67506108 (Check one): ? Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2015 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form |
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| February 29, 2016 |
DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 29, 2016 |
Exhibit Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Names Robert J. Chersi to Its Board of Directors Veteran Financial Executive Brings Strong Asset Management Industry Expertise London - February 29, 2016 - OM Asset Management plc (NYSE: OMAM) today announced that Robert J. Chersi, former chief financial officer (CFO) of Fidelity Financial Services, has been named to the |
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| February 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) |
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| February 16, 2016 |
PRE 14A 1 pre-14afor2016generalmeeti.htm PRE 14A Use these links to rapidly review the document TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: ý Pre |
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| February 4, 2016 |
Q4 2015 EARNINGS PRESENTATION February 4, 2016 Exhibit 99.2 Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” a |
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| February 4, 2016 |
OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2015 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2015 • Economic net income of $36.5 million ($0.30 per share) for the quarter, down (22.3)% compared to the 2014 period • Full year economic net income of $149.7 million ($1.24 per share) excluding extraordinary performance fee, and $161.1 |
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| February 4, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 3, 2016 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| January 26, 2016 |
CORRESP 1 filename1.htm January 26, 2016 Via EDGAR Hugh West Accounting Branch Chief Division of Corporate Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: OM Asset Management plc Form 10-K for the Fiscal Year Ended December 31, 2014 Filed March 30, 2015 Form 10-Q for the Quarterly Period Ended September 30, 2015 Filed November 10, 2015 File Nos. 001-36683 D |
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| January 4, 2016 |
CORRESP Morgan, Lewis & Bockius llp 101 Park Avenue New York, NY 10178-0060 Tel. +1.212.309.6000 Fax: +1.212.309.6001 www.morganlewis.com January 4, 2016 Via EDGAR Hugh West Accounting Branch Chief Division of Corporate Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: OM Asset Management plc Form 10-K for the Fiscal Year Ended December 31, 2014 Filed March 3 |
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| December 4, 2015 |
OM Asset Management plc DEBT SECURITIES ORDINARY SHARES 424B1 Filed pursuant to Rule 424(b)(1) Registration No. 333-207781 $2,000,000,000 OM Asset Management plc DEBT SECURITIES ORDINARY SHARES Pursuant to a ?shelf? registration statement of which this prospectus is a part, we, OM Asset Management plc, may offer and sell debt securities in one or more series, which may be senior debt securities or subordinated debt securities, in each case consisting o |
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| December 1, 2015 |
CORRESP OM Asset Management plc 5th Floor, Millennium Bridge House 2 Lambeth Hill London EC4V 4GG, United Kingdom December 1, 2015 Via EDGAR and Facsimile United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D. |
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| November 20, 2015 |
CORRESP November 20, 2015 Via EDGAR Dietrich A. King Assistant Director Division of Corporate Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: OM Asset Management plc Registration Statement on Form S-3 Filed November 4, 2015 File No. 333-207781 Dear Mr. King: This letter sets forth the response of OM Asset Management plc (the ? Company ?) to the comment lett |
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| November 20, 2015 |
S-3/A 1 omam-93015sx3a.htm S-3/A As filed with the Securities and Exchange Commission on November 20, 2015 Registration Statement No. 333-207781 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 98 |
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| November 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 omam-2015930x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition per |
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| November 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2015 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) ( |
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| November 4, 2015 |
OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2015 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Third Quarter Ended September 30, 2015 • Economic net income of $37.9 million ($0.31 per share) for the quarter, up 0.8% compared to the 2014 period • Year to date economic net income of $113.2 million ($0.94 per share) excluding extraordinary performance fee, and $124.6 million ($1 |
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| November 4, 2015 |
FORM OF SENIOR OR SUBORDINATED INDENTURE EXHIBIT 4.2 OM ASSET MANAGEMENT PLC, as Issuer, WILMINGTON TRUST, NATIONAL ASSOCIATION, as Trustee AND CITIBANK, N.A., as Securities Administrator [SENIOR/SUBORDINATED] INDENTURE DATED AS OF [ , 20] TABLE OF CONTENTS Page ARTICLE ONE DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01. Definitions 1 Section 1.02. Compliance Certificates a |
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| November 4, 2015 |
OM Asset Management plc 200 Clarendon Street, 53rd Floor Boston, Massachusetts 02116 November 4, 2015 Via Edgar Transmission U. |
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| November 4, 2015 |
SECURITIES AND EXCHANGE COMMISSION Exhibit 25.1 File No. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T‑1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ¨ CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S |
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| November 4, 2015 |
Q3 2015 Earnings Presentation November 4, 2015 Exhibit 99.2 │ Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” |
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| November 4, 2015 |
As filed with the Securities and Exchange Commission on November 3, 2015 As filed with the Securities and Exchange Commission on November 3, 2015 Registration Statement No. |
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| August 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 omam-2015630x10q.htm OMAM 6-30-1510-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transit |
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| August 6, 2015 |
OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2015 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Second Quarter Ended June 30, 2015 • Economic net income (excluding extraordinary performance fee) of $38.0 million ($0.32 per share) for the quarter and $75.3 million ($0.63 per share) for the year to date, up 11.4% and 13.1% respectively, compared to 2014 periods • Economic net in |
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| August 6, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2015 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Co |
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| August 6, 2015 |
Q2 2015 Earnings Presentation August 6, 2015 Exhibit 99.2 │ Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “project,” a |
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| June 23, 2015 |
BSIG / BrightSphere Investment Group plc / OLD MUTUAL PLC - SC 13G/A Passive Investment SC 13G/A 1 a15-146191sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* OM Asset Management plc (Name of Issuer) Ordinary Shares, nominal value $0.001 per share (Title of Class of Securities) G67506 10 8 (CUSIP Number) June 22, 2015 (Date of Event Which Requires Filing of this Stateme |
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| June 17, 2015 |
13,300,000 Ordinary Shares Ordinary Shares Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(4) Registration Statement No. |
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| June 16, 2015 |
QuickLinks - Click here to rapidly navigate through this document As filed with the Securities and Exchange Commission on June 16, 2015 Registration No. |
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| June 16, 2015 |
S-1/A 1 a15-126765s1a.htm S-1/A As filed with the Securities and Exchange Commission on June 15, 2015 Registration No. 333-204799 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OM Asset Management plc (Exact name of each registrant as specified in its charter) England and Wales (State or othe |
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| June 15, 2015 |
OM Asset Management plc 5th Floor, Millennium Bridge House 2 Lambeth Hill London EC4V 4GG, United Kingdom June 15, 2015 Via EDGAR and Facsimile United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D. |
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| June 15, 2015 |
As filed with the Securities and Exchange Commission on June 15, 2015 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on June 15, 2015 Registration No. |
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| June 15, 2015 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley & Co. LLC Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC as Representatives of the several Underwriters c/o Merrill Lynch, Pierce, Fenner & Smith Incorporated One Bryant Park New York, New York 10036 Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 Citigroup Global Markets Inc. 388 Greenwich Street N |
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| June 15, 2015 |
Exhibit 1.1 OM Asset Management plc (a public limited company formed under the laws of England and Wales) [ ] Ordinary Shares UNDERWRITING AGREEMENT Dated: [ ], 2015 OM ASSET MANAGEMENT PLC (a public limited company formed under the laws of England and Wales) [ ] Ordinary Shares UNDERWRITING AGREEMENT [ ], 2015 Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley & Co. LLC Citigroup G |
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| June 8, 2015 |
As filed with the Securities and Exchange Commission on June 8, 2015 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on June 8, 2015 Registration No. |
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| May 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 omam-2015331x10q.htm OMAM 10-Q 3-31-2015 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the tra |
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| May 14, 2015 |
omamearningspresentation Q1 2015 Earnings Presentation May 14, 2015 Exhibit 99.2 │ Disclaimer 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward-looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “ |
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| May 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2015 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) (Comm |
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| May 14, 2015 |
OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2015 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the First Quarter Ended March 31, 2015 • Economic net income of $37.3 million ($0.31 per share) for the quarter, up 14.8% from the comparative quarter in 2014 • U.S. GAAP earnings of $34.2 million ($0.28 per share) for the quarter • AUM of $224.0 billion at March 31, 2015, up 10% from M |
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| May 5, 2015 |
OM Asset Management 8-K - AGM RESULTS RELEASE (Current Report/Significant Event) AGM 8-K May 5 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 5, 2015 |
Exhibit 3.1 COMPANY NUMBER: 9062478 COMPANIES ACT 2006 A PUBLIC COMPANY LIMITED BY SHARES ARTICLES OF ASSOCIATION of OM ASSET MANAGEMENT PLC CONTENTS Clause Page PRELIMINARY 1 SHARE CAPITAL AND LIMITED LIABILITY 5 VARIATION OF RIGHTS 8 SHARES IN UNCERTIFICATED FORM 9 SHARE CERTIFICATES 11 LIEN 12 CALLS ON SHARES 12 FORFEITURE AND SURRENDER 13 TRANSFER OF SHARES 15 TRANSMISSION OF SHARES 16 ALTERAT |
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| April 8, 2015 |
DEF 14A 1 a2224074zdef14a.htm DEF14A Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropr |
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| March 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 30, 2015 |
Exhibit 10.23 FIRST AMENDMENT TO THE SEED CAPITAL MANAGEMENT AGREEMENT This First Amendment (this “First Amendment”) effective as of December 31, 2014 to that certain Seed Capital Management Agreement dated as of October 8, 2014, by and among MILLPENCIL LIMITED, a company limited by shares organized under the laws of England and Wales and located at 5th Floor, Millennium Bridge House, 2 Lambeth Hi |
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| March 27, 2015 |
Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 27, 2015 |
4Q 2014 EARNINGS PRESENTATION February 27, 2015 OMAM Exhibit 99.2 4Q 2014 EARNINGS PRESENTATION February 27, 2015 OMAM DISCLAIMER 2 Forward Looking Statements This presentation may contain forward looking statements for the purposes of the safe harbor provision under the Private Securities Litigation Reform Act of 1995. Forward‐looking statements are identified by words such as “expect,” “anticipate,” “may,” “intends,” “believes,” “estimate,” “proje |
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| February 27, 2015 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2015 OM Asset Management plc (Exact name of registrant as specified in its charter) England and Wales 001-36683 98-1179929 (State or other jurisdiction of incorporation) |
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| February 27, 2015 |
OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2014 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 OMAM Reports Financial and Operating Results for the Fourth Quarter and Year Ended December 31, 2014 ● Economic net income of $0.39 per share ($47.0 million) for the quarter and $1.26 per share ($151.3 million) for the full year, up 44% and 24% respectively, compared to the prior periods of 2013 ● U.S. GAAP earnings of $34.3 million f |
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| February 9, 2015 |
BSIG / BrightSphere Investment Group plc / OLD MUTUAL PLC - SC 13G Passive Investment SC 13G 1 a15-40261sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* OM Asset Management plc (Name of Issuer) Ordinary Shares, nominal value $0.001 per share (Title of Class of Securities) G67506 10 8 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) |
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| November 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
