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Share Name | Share Symbol | Market | Type |
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OM Asset Management Plc Ordinary Shares (delisted) | NYSE:OMAM | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 15.35 | 0.00 | 01:00:00 |
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UNITED STATES
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SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
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☐
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Rule 13d-1(b)
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Rule 13d-1(c)
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Rule 13d-1(d)
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CUSIP No. G67506 10 8
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1.
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Names of Reporting Persons
OM Group (UK) Ltd. |
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a)
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(b)
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
United Kingdom |
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Number of
Shares Beneficially Owned by Each Reporting Person With |
5.
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Sole Voting Power
1,000 |
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6.
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Shared Voting Power
0 |
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7.
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Sole Dispositive Power
1,000 |
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8.
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Shared Dispositive Power
0 |
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,000 |
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
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N/A
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11.
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Percent of Class Represented by Amount in Row (9)
0.0009% |
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12.
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Type of Reporting Person (See Instructions)
OO |
CUSIP No. G67506 10 8
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1.
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Names of Reporting Persons
Old Mutual plc |
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2.
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a)
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☐
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(b)
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☐
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3.
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SEC Use Only
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4.
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Citizenship or Place of Organization
United Kingdom |
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Number of
Shares Beneficially Owned by Each Reporting Person With |
5.
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Sole Voting Power
1,000 |
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6.
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Shared Voting Power
0 |
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7.
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Sole Dispositive Power
1,000 |
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8.
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Shared Dispositive Power
0 |
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
1,000 |
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
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N/A
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11.
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Percent of Class Represented by Amount in Row (9)
0.0009% |
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12.
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Type of Reporting Person (See Instructions)
CO |
Item 1.
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(a)
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Name of Issuer
OM Asset Management plc |
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(b)
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Address of Issuer’s Principal Executive Offices
Ground Floor Millennium Bridge House
2 Lambeth Hill
London EC4V 4GG
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Item 2.
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(a)
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Name of Persons Filing
i.
OM Group (UK) Ltd., a wholly-owned subsidiary of Old Mutual plc
ii.
Old Mutual plc, which holds ordinary shares of the Issuer through OM Group (UK) Ltd.
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(b)
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Address of Principal Business Office or, if none, Residence
5th Floor Millennium Bridge House
2 Lambeth Hill
London EC4V 4GG
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(c)
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Citizenship
United Kingdom |
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(d)
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Title of Class of Securities
Ordinary Shares, nominal value $0.001 per share |
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(e)
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CUSIP Number
G67506 10 8 |
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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A non-U.S. institution in accordance with § 240.13d–1(b)(1)(ii)(J);
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(k)
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Group, in accordance with § 240.13d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with
§ 240.13d–1(b)(1)(ii)(J), please specify the type of institution:____________________________
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Item 4.
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Ownership
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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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(a)
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Amount beneficially owned:
See Row 9 of each of the cover pages.
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(b)
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Percent of class:
See Row 11 of each of the cover pages. The percentages set forth therein are based on 109,720,358 Ordinary Shares outstanding as of November 6, 2017, as reported by the Issuer in its quarterly report on Form 10-Q for the period ended September 30, 2017.
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote
See Row 5 of each of the cover pages.
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(ii)
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Shared power to vote or to direct the vote
See Row 6 of each of the cover pages.
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(iii)
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Sole power to dispose or to direct the disposition of
See Row 7 of each of the cover pages.
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(iv)
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Shared power to dispose or to direct the disposition of
See Row 8 of each of the cover pages.
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Item 5.
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Ownership of Five Percent or Less of a Class
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following
☒
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group
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Not applicable.
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Item 9.
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Notice of Dissolution of Group
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Not applicable.
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Item 10.
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Certification
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Not applicable.
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OM Group (UK) Ltd.
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February 14, 2018
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Date
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By: /s/ Paul Forsythe
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Signature
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Paul Forsythe, Secretary, OM Group (UK) Ltd. |
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Name/Title
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Old Mutual plc
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February 14, 2018
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Date
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By: /s/ Colin Campbell |
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Signature
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Colin Campbell, Group Company Secretary, Old Mutual plc |
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Name/Title
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Exhibit No.
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Exhibit
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1
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Joint Filing Agreement, dated as of July 24, 2017, by and between OM Group (UK) Ltd. and Old Mutual plc, incorporated herein by reference to Exhibit 1 to Amendment No. 2 to Schedule 13G filed on July 25, 2017
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1 Year OM ASSET MANAGEMENT PLC Chart |
1 Month OM ASSET MANAGEMENT PLC Chart |
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