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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Deferred Share Awards -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 333,333 | 12/31/2008 | Â (4) | Ordinary Shares | $ 0 | 0 | Â | ||
Deferred Share Awards -Time Vesting | Â | 12/04/2007 | Â | J(1) | 166,666 (1) | Â | 12/31/2008 | Â (4) | Common Shares | $ 0 | 166,666 | Â | ||
Deferred Share Awards -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 333,333 | 12/31/2009 | Â (4) | Ordinary Shares | $ 0 | 0 | Â | ||
Deferred Share Awards -Time Vesting | Â | 12/04/2007 | Â | J(1) | 166,666 (1) | Â | 12/31/2009 | Â (4) | Common Shares | $ 0 | 166,666 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 25,000 | 10/30/2001 | 10/29/2008 | Ordinary Shares | $ 0 | 0 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | 12,500 (1) | Â | 10/30/2001 | 10/29/2008 | Common Shares | $ 0 | 12,500 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 25,000 | 12/09/2002 | 12/08/2009 | Ordinary Shares | $ 0 | 0 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | 12,500 (1) | Â | 12/09/2002 | 12/08/2009 | Common Shares | $ 0 | 12,500 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 150,000 | 12/04/2004 | 12/03/2011 | Ordinary Shares | $ 0 | 0 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | 75,000 (1) | Â | 12/04/2004 | 12/03/2011 | Common Shares | $ 0 | 75,000 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | Â | 42,500 | 12/01/2003 | 11/30/2010 | Ordinary Shares | $ 0 | 0 | Â | ||
Options to Purchase -Time Vesting | Â | 12/04/2007 | Â | J(1) | 21,250 (1) | Â | 12/01/2003 | 11/30/2010 | Common Shares | $ 0 | 21,250 | Â | ||
Options to Purchase -Performance Vesting -Vested | Â | 12/04/2007 | Â | J(1) | Â | 50,000 | 02/13/2007 | 12/15/2013 | Ordinary Shares | $ 0 | 0 | Â | ||
Options to Purchase -Performance Vesting -Vested | Â | 12/04/2007 | Â | J(1) | 25,000 (1) | Â | 02/13/2007 | 12/15/2013 | Common Shares | $ 0 | 25,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lo Andrew Tak Shing INVESCO, 32/F THREE PACIFIC PLACE 1 QUEENS ROAD EAST HONG KONG, F4 00000 |
 |  |  Senior Managing Director |  |
/s/ Jonathan J. Doyle, as Attorney in Fact | 02/14/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This Form 5 reports a reclassification of securities in a transaction subject to Rule 16b-7 and a reverse stock split subject to Rule 16a-9. On December 4, 2007, INVESCO PLC effected a redomicile to Bermuda pursuant to a U.K. Scheme of Arrangement under which all shareholders received Common Shares in Invesco, Ltd., the new Bermuda parent company, in exchange for their Ordinary Shares, par value $0.10 per share, in INVESCO PLC (the "Redomicile"). Following the Redomicile, Invesco Ltd. effected a one-for-two reverse stock split, such that shareholders now hold Common Shares, par value $0.20 per share, in Invesco Ltd. All equity awards of the issuer were adjusted for these events, and the holdings described on this Form 5 represent the post-Redomicile holdings of the reporting person. |
(2) | Includes common shares acquired pursuant to the vesting of deferred share awards, which were previously reported on Form 4s filed on December 4, 2007 and January 3, 2008. |
(3) | Not applicable |
(4) | Deferred share award expires upon failure to vest |
(5) | Exercise Price=4.1600 Pounds Sterling per share |
(6) | Exercise Price=8.3200 Pounds Sterling per share |
(7) | Exercise Price=6.6000 Pounds Sterling per share |
(8) | Exercise Price=13.2000 Pounds Sterling per share |
(9) | Exercise Price=9.5000 Pounds Sterling per share |
(10) | Exercise Price=19.0000 Pounds Sterling per share |
(11) | Exercise Price=11.0000 Pounds Sterling per share |
(12) | Exercise Price=22.0000 Pounds Sterling per share |
(13) | Exercise Price=3.7400 Pounds Sterling per share |
(14) | Exercise Price=7.48 Pounds Sterling per share |