AAMI / Acadian Asset Management Inc. - Depositi SEC, Relazione annuale, dichiarazione di delega

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ 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

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): July 31, 2025 Acadian Asset Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Commis

Acadian Asset Management Inc. Reports Financial and Operating Results for the Second Quarter Ended June 30, 2025 • Record $13.8 billion of net inflows for Q2'25, (11% of BOP AUM), driven by a new Enhanced Equity institutional client mandate and Globa

Acadian Asset Management Inc. Reports Financial and Operating Results for the Second Quarter Ended June 30, 2025 • Record $13.8 billion of net inflows for Q2'25, (11% of BOP AUM), driven by a new Enhanced Equity institutional client mandate and Global Equity • AUM of $151.1 billion at June 30, 2025, highest in the firm’s nearly 40 year history • U.S. GAAP earnings per share of $0.28 for the quarte

Amended and Restated Bylaws of Acadian Asset Management Inc., adopted as of May 13, 2025, redlined for amendments.

AMENDED AND RESTATED BYLAWS OF ACADIAN ASSET MANAGEMENT INC. Adopted as of February 27, 2023May 13, 2025 ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of Acadian Asset Management Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall

Amended and Restated Bylaws, adopted as of May 12, 2025, incorporated herein by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on May 16,2025.

AMENDED AND RESTATED BYLAWS OF ACADIAN ASSET MANAGEMENT INC. Adopted as of May 13, 2025 ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of Acadian Asset Management Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall be Corporation S

Current Report

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 13, 2025 Acadian Asset Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Commiss

Specimen Common Stock Certificate of Acadian Asset Management Inc.

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ 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

1 Acadian Asset Management Inc. Reports Financial and Operating Results for the First Quarter Ended March 31, 2025 • U.S. GAAP earnings per share of $0.54 for the quarter, 46% increase compared to $0.37 for Q1'24 • U.S. GAAP net income attributable t

1 Acadian Asset Management Inc. Reports Financial and Operating Results for the First Quarter Ended March 31, 2025 • U.S. GAAP earnings per share of $0.54 for the quarter, 46% increase compared to $0.37 for Q1'24 • U.S. GAAP net income attributable to controlling interests of $20.1 million for the quarter, 38% increase compared to $14.6 million for Q1'24 • ENI earnings per share of $0.54 for the q

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 1, 2025 Acadian Asset Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Commissi

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. )

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 Only (as permitted by Rule 14a-6(e)(2)) o Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of

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nded and Restated Bylaws

AMENDMENT NO. 1 TO AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. The following amendment to the Amended and Restated Bylaws of BrightSphere Investment Group Inc. (the “Bylaws”), effective as of January 1, 2025, was duly adopted pursuant to Article 9 of the Bylaws by unanimous written consent of the members of the board of directors of BrightSphere Investment Group Inc. 1. Name.

Form of Restricted Stock Unit Award Agreement for Employees

ACADIAN ASSET MANAGEMENT INC. EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between Acadian Asset Management Inc., a Delaware corporation (the “Company”), and (the “Participant”). WITNESSETH: WHEREAS, the Company has adopted the Acadian Asset Management Inc. Equity Incentive

Amended and Restated Acadian Asset Management LLC Deferred Compensation Plan, effective January 1, 2025.

ACADIAN ASSET MANAGEMENT LLC DEFERRED COMPENSATION PLAN Effective as of January 1, 2025 1.

Amended and Restated Acadian Asset Management LLC Bonus Plan, effective January 1, 2025.

ACADIAN ASSET MANAGEMENT LLC BONUS PLAN As Amended and Restated Effective as of January 1, 2025 Acadian Asset Management LLC Bonus Plan As Amended and Restated Effective as of January 1, 2025 1.

Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC,

EIGHTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF ACADIAN ASSET MANAGEMENT LLC Dated as of December 31, 2024 TABLE OF CONTENTS ARTICLE I FORMATION.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ 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 001-38979 Acadian Asset M

Amended and Restated Bylaws, adopted as of February 27, 2023.

AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. Adopted as of February 27, 2023 ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of BrightSphere Investment Group Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall b

Description of Registrant’s Securities

DESCRIPTION OF REGISTRANT’S SECURITIES The following description of the capital stock of Acadian Asset Management Inc.

Form of Restricted Stock Unit Award Agreement for Non-Employee Directors

Time-Based Vesting Restricted Stock Unit Grant - U.S. Taxpayers ACADIAN ASSET MANAGEMENT INC. NON-EMPLOYEE DIRECTORS’ EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between Acadian Asset Management Inc., a Delaware corporation (the “Company”), and (the “Participant”). WITNESSE

Subsidiaries of Acadian Asset Management Inc.

Exhibit 21.1 SUBSIDIARIES Acadian Asset Management Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2024. Subsidiary Jurisdiction Acadian Asset Management Inc. Delaware Acadian Inc. Delaware Acadian Asset Management LLC Delaware Millpencil (US) LP Delaware

BrightSphere Investment Group Inc. Rule 10D-1 Clawback Policy, effective October 2, 2023.

Acadian Asset Management Inc. Rule 10D-1 Clawback Policy Adopted: November 9, 2023; Effective: October 2, 2023; Amended January 1, 2025 1.Purpose; Overview. The purpose of this Rule 10D-1 Clawback Policy (this “Policy”) is to set forth the circumstances under which a Covered Executive will be required to repay or return Erroneously Awarded Compensation to Acadian Asset Management Inc. (together wi

Acadian Asset Management Inc. Equity Incentive Plan, incorporated herein by reference to Exhibit 10.1 to the Annual Report on Form 10-K filed on February 27, 2025.

Acadian Asset Management Inc. Equity Incentive Plan An Amendment and Restatement of the BrightSphere Investment Group plc 2017 Equity Incentive Plan Effective July 12, 2019, as amended January 1, 2025 Table of Contents Page Purpose 2 Definitions 2 Term of Plan 5 Stock Subject to Plan 6 Administration 7 Authorization of Grants 7 Specific Terms of Awards 8 Adjustment Provisions 13 Change of Control

nsider Trading Policy.

ACADIAN ASSET MANAGEMENT INC. INSIDER TRADING POLICY January 1, 2025 1 Why does Acadian Asset Management Inc. have a Policy on Insider Trading? Acadian Asset Management Inc. (“AAMI”) adopted this policy on Insider Trading to reduce the risk that any AAMI employee or Director might be found to have engaged in insider trading in AAMI securities in violation of securities laws. Insider trading may re

Amended and Restated Certificate of Incorporation, adopted as of July 12, 2019, incorporated herein by reference to Exhibit 3.1 to the Annual Report on Form 10-K filed on February 27, 2025.

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BRIGHTSPHERE INVESTMENT GROUP INC.

ertificate of Amendment to Amended and Restated Certificate of Incorporation

CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BRIGHTSPHERE INVESTMENT GROUP INC.

Form of Indemnity Agreement.

FORM OF INDEMNITY AGREEMENT THIS INDEMNITY AGREEMENT (this “Agreement”) is made as of , 20, by and between Acadian Asset Management Inc.

Acadian Asset Management Inc. Non-Employee Directors’ Equity Incentive Plan.

Acadian Asset Management Inc. Non-Employee Directors’ Equity Incentive Plan Effective July 12, 2019, as amended January 1, 2025 An Amendment and Restatement of the BrightSphere Investment Group plc Non-Employee Directors’ Equity Incentive Plan 1 Table of Contents Page Purpose 3 Definitions 3 Term of Plan 6 Stock Subject to the Plan 6 Administration 7 Authorization of Grants 7 Specific Terms of Awa

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 6, 2025 Acadian Asset Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

1 Acadian Asset Management Inc. Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2024 • U.S. GAAP earnings per share of $1.13 for the quarter, 109% increase compared to $0.54 for Q4'23 • U.S. GAAP net income attributa

1 Acadian Asset Management Inc. Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2024 • U.S. GAAP earnings per share of $1.13 for the quarter, 109% increase compared to $0.54 for Q4'23 • U.S. GAAP net income attributable to controlling interests of $42.5 million for the quarter, 86% increase compared to $22.8 million for Q4'23 • Highest ever ENI earnings per share

FILING ACKNOWLEDGMENT

EX-99.1 2 ex991.htm Exhibnit 99.1 FILING ACKNOWLEDGMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The undersigned ackno

Current Report

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 31, 2024 Acadian Asset Management Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Co

Amendment No. 1 to Amended and Restated Bylaws, effective January 1, 2025, incorporated herein by reference to Exhibit 3.2 to the Current Report on Form 8-K filed on January 6, 2025.

AMENDMENT NO. 1 TO AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. The following amendment to the Amended and Restated Bylaws of BrightSphere Investment Group Inc. (the “Bylaws”), effective as of January 1, 2025, was duly adopted pursuant to Article 9 of the Bylaws by unanimous written consent of the members of the board of directors of BrightSphere Investment Group Inc. 1. Name.

Certificate of Amendment to Amended and Restated Certificate of Incorporation, effective January 1, 2025, incorporated herein by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on January 6, 2025.

CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BRIGHTSPHERE INVESTMENT GROUP INC.

BSIG / BrightSphere Investment Group Inc. / Empyrean Capital Partners, LP Passive Investment

SC 13G 1 r1030240sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* BrightSphere Investment Group, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 10948W103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of This Statement) Che

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ 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

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): October 31, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2024 • U.S. GAAP earnings per share of $0.45 for the quarter, compared to $0.46 for Q

EX-99.1 2 bsigearningspresentation.htm EX-99.1 1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2024 • U.S. GAAP earnings per share of $0.45 for the quarter, compared to $0.46 for Q3'23 • U.S. GAAP net income attributable to controlling interests of $16.9 million for the quarter, com

BrightSphere Appoints Kelly Young as President and Chief Executive Officer, Announces Rebranding as Acadian Asset Management Inc.

Contact: Investor Relations [email protected] (617) 369-7300 BrightSphere Appoints Kelly Young as President and Chief Executive Officer, Announces Rebranding as Acadian Asset Management Inc. •Kelly Young to become CEO and Director •BrightSphere Investment Group to rebrand to Acadian Asset Management Inc. •BSIG ticker to change to AAMI BOSTON, October 1, 2024 – BrightSphere Investment Group Inc. (NYSE: B

Employment Agreement, dated September 30, 2024, by and among the Company, Acadian and Kelly Young

AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”), effective as of January 1, 2025 (the “Effective Date”), is entered into by and among Acadian Asset Management LLC, a Delaware limited liability company having its principal place of business in Boston, Massachusetts (the “Company”), Kelly-Ann Young (the “Employee”) and BrightSphere Investment Group Inc.

Other Events

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 30, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporatio

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ 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

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2024 • U.S. GAAP earnings per share of $0.29 for the quarter, compared to $0.27 for Q2'23

bsigearningspresentation 1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2024 • U.S. GAAP earnings per share of $0.29 for the quarter, compared to $0.27 for Q2'23 • U.S. GAAP net income attributable to controlling interests of $11.0 million for the quarter, compared to $11.4 million for

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, 2024 BrightSphere Inves

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, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (

Current Report

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 6, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Co

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ 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

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2024 • U.S. GAAP earnings per share of $0.37 for the quarter, compared to $0.28 for Q1'23

bsigearningspresentation 1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2024 • U.S. GAAP earnings per share of $0.37 for the quarter, compared to $0.28 for Q1'23 • U.S. GAAP net income attributable to controlling interests of $14.6 million for the quarter, compared to $12.0 million for

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, 2024 BrightSphere Investme

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, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

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. )

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 Only (as permitted by Rule 14a-6(e)(2)) o Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of

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Second Amendment to the Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 30, 2023.

SECOND AMENDMENT TO THE SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF ACADIAN ASSET MANAGEMENT LLC This Second Amendment (this “Amendment”) effective as of December 30, 2023 to the Seventh Amended and Restated Limited Liability Agreement of Acadian Asset Management LLC (the “Company”), dated as of February 26, 2018, as amended from time to time (the “Agreement”), is made and entered into by and between BrightSphere Affiliate Holdings LLC f/k/a OMAM Affiliate Holdings LLC (“BrightSphere”) and Acadian KELP LP (“KELP”).

BrightSphere Investment Group Inc. Rule 10D-1 Clawback Policy, effective October 2, 2023.

BrightSphere Investment Group Inc. Rule 10D-1 Clawback Policy Adopted: November 9, 2023; Effective: October 2, 2023 1.Purpose; Overview. The purpose of this Rule 10D-1 Clawback Policy (this “Policy”) is to set forth the circumstances under which a Covered Executive will be required to repay or return Erroneously Awarded Compensation to BrightSphere Investment Group Inc. (together with its Affiliat

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ 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 001-38979 BrightSphere In

Subsidiaries of BrightSphere Investment Group Inc.

Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2023. Subsidiary Jurisdiction BrightSphere Investment Group Inc. Delaware BrightSphere Inc. Delaware Acadian Asset Management LLC Delaware Millpencil (US) LP Delaware

BSIG / BrightSphere Investment Group Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Brightsphere Investment Group Inc Title of Class of Securities: Common Stock CUSIP Number: 10948W103 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedu

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 1, 2024 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2023 • U.S. GAAP earnings per share of $0.54 for the quarter, compared to $0.72 for Q

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2023 • U.S. GAAP earnings per share of $0.54 for the quarter, compared to $0.72 for Q4'22 • U.S. GAAP net income attributable to controlling interests of $22.8 million for the quarter, compared to $30.4 million for Q4'22 • ENI earnings

Current Report

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 18, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ 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

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2023 • U.S. GAAP earnings per share of $0.46 for the quarter, compared to $0.42 for Q

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2023 • U.S. GAAP earnings per share of $0.46 for the quarter, compared to $0.42 for Q3'22 • U.S. GAAP net income attributable to controlling interests of $19.6 million for the quarter, compared to $17.8 million for Q3'22 • ENI earnings

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, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ 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

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2023 • U.S. GAAP earnings per share of $0.27 for the quarter, compared to $0.67 for Q2'22

bsigearningspresentation 1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2023 • U.S. GAAP earnings per share of $0.27 for the quarter, compared to $0.67 for Q2'22 • U.S. GAAP net income attributable to controlling interests of $11.4 million for the quarter, compared to $28.6 million for

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): August 3, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (

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 7, 2023 BrightSphere Investm

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 7, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Co

Amended and Restated Employment Agreement, dated May 4, 2023, by and between BrightSphere Inc. and Christina Wiater

AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Agreement”) is effective as of the 4th day of May, 2023 by and between BrightSphere Inc.

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ 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

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, 2023 BrightSphere Investme

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, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2023 • U.S. GAAP earnings per share of $0.28 for the quarter, compared to $0.53 for Q1'22

bsigearningspresentation 1 Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2023 • U.S. GAAP earnings per share of $0.28 for the quarter, compared to $0.53 for Q1'22 • U.S. GAAP net income attributable to controlling interests of $12.0 million for the quarter, compared to $23.8 million for

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of

Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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. )

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 Only (as permitted by Rule 14a-6(e)(2)) o Defin

Subsidiaries of BrightSphere Investment Group Inc.

Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2022. Subsidiary Jurisdiction BrightSphere Investment Group Inc. Delaware BrightSphere Inc. Delaware Acadian Asset Management LLC Delaware SCO Investment Holdings Ltd. United Kingdom

Amended and Restated Bylaws of BrightSphere Investment Group Inc., adopted as of February 27, 2023, incorporated herein by reference to Exhibit 3.2 to the Annual Report on Form 10-K filed on February 28, 2023.

AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. Adopted as of February 27, 2023 ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of BrightSphere Investment Group Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall b

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ 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 001-38979 BrightSphere In

Amendment to the Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 30, 2022

AMENDMENT TO THE SEVENTH AMENDED AND RESTATED LIMITED LIABILITY COMPANY OPERATING AGREEMENT OF ACADIAN ASSET MANAGEMENT LLC This Amendment (this “Amendment”) dated as of December 30, 2022 to the Seventh Amended and Restated Limited Liability Operating Agreement of Acadian Asset Management LLC (the “Company”), dated as of February 26, 2018 (the “Agreement”), is made and entered into by and between BrightSphere Affiliate Holdings LLC f/k/a OMAM Affiliate Holdings LLC (“BrightSphere”) and Acadian KELP LP (“KELP”).

Amended and Restated Bylaws of BrightSphere Investment Group Inc., adopted as of February 27, 2023, redlined for amendments

AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. Adopted as of February 27, 2023 ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of BrightSphere Investment Group Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall b

BSIG / BrightSphere Investment Group Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Brightsphere Investment Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 10948W103 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2022 • U.S. GAAP earnings per share of $0.72 for the quarter, compared to $0.53 for Q4'21

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2022 • U.S. GAAP earnings per share of $0.72 for the quarter, compared to $0.53 for Q4'21 • ENI earnings per share of $0.67 for the quarter, compared to $0.53 for Q4'21 • U.S. GAAP net income attributable to controlling interests of $30.4 m

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 2, 2023 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

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) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? 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

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2022 • U.S. GAAP earnings per share of $0.42 for the quarter, compared to $2.76 for Q3'21,

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2022 ? U.S. GAAP earnings per share of $0.42 for the quarter, compared to $2.76 for Q3'21, primarily due to the gain on sale of Affiliates in Q3?21 ? ENI earnings per share of $0.30 for the quarter, compared to $0.28 for Q3'21 ? Net client

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 3, 2022 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

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) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? 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

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2022 • U.S. GAAP earnings per share of $0.67 for the quarter, compared to $6.42 for Q2'21 due

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2022 ? U.S. GAAP earnings per share of $0.67 for the quarter, compared to $6.42 for Q2'21 due to the gain on sale of Landmark Partners (?Landmark?) in Q2?21 ? ENI earnings per share of $0.41 for the quarter, compared to $0.40 for Q2'21; Q2'21 E

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): July 28, 2022 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

Current Report

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 7, 2022 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Co

Amended and Restated Employment Agreement, dated as of May 5, 2022, by and between BrightSphere Inc. and Christina Wiater.

EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the ?Agreement?) is effective as of the 4th day of May, 2022 by and between BrightSphere Inc.

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) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? 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

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 5, 2022 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

1 Contact: [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2022 • U.S. GAAP earnings per share of $0.53 for the quarter, compared to $0.33 for Q1'21 • ENI earnings per

1 Contact: [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2022 ? U.S. GAAP earnings per share of $0.53 for the quarter, compared to $0.33 for Q1'21 ? ENI earnings per share of $0.52 for the quarter, compared to $0.27 for Q1'21 ? Net client cash flows (?NCCF?) for the quarter of $(2.2) billion ? AUM of $110.2 billio

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. )

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 ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of

Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? 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 001-38979 BrightSphere In

Subsidiaries of BrightSphere Investment Group Inc.

Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2021. Subsidiary Jurisdiction BrightSphere Investment Group Inc. Delaware BrightSphere Inc. Delaware Acadian Asset Management LLC Delaware SCO Investment Holdings Ltd. United Kingdom

Form of Option Award Agreement incorporated herein by reference to Exhibit 10.33 to Annual Report on Form 10-K filed on February 28, 2022.

BRIGHTSPHERE INVESTMENT GROUP INC. EQUITY INCENTIVE PLAN OPTION AWARD AGREEMENT THIS OPTION AWARD AGREEMENT (this ?Agreement?), is entered into as of , 20, by and between BrightSphere Investment Group Inc., a Delaware corporation, and the ?Participant?. WHEREAS, the Company has adopted the BrightSphere Investment Group Inc. Equity Incentive Plan (the ?Plan?) for the benefit of the employees of the

BSIG / BrightSphere Investment Group Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Brightsphere Investment Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 10948W103 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Sched

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2021 • U.S. GAAP earnings per share of $0.53 for the quarter, compared to $2.42 for Q4'20;

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2021 ? U.S. GAAP earnings per share of $0.53 for the quarter, compared to $2.42 for Q4'20; Q4'20 included $1.90 per share from gain on sale of Barrow Hanley Mewhinney & Strauss, LLC (?Barrow Hanley?) ? ENI earnings per share of $0.53 for th

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 3, 2022 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

EX-99.25

EX-99.25 2 ruleprovisionnotice.htm 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). [ X ] 17 CFR 240.12d

OMAM / OM Asset Management Plc / PAULSON & CO. INC. - DECEMBER 22, 2021 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. 5)* BrightSphere Investment Group Inc. (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinbe

Current Report

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 17, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation

OMAM / OM Asset Management Plc / PAULSON & CO. INC. - AMENDMENT NO. 4 TO THE SCHEDULE 13D 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. 4)* BrightSphere Investment Group Inc. (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinbe

Press Release, dated December 9, 2021.

Exhibit (a)(5)(iv) Contact: Elie Sugarman [email protected] (617) 369-7300 For Immediate Release BRIGHTSPHERE ANNOUNCES FINAL RESULTS OF ITS TENDER OFFER BOSTON, MA, December 9, 2021 ? BrightSphere Investment Group Inc. (NYSE: BSIG) today announced the final results of its tender offer, which expired at 5:00 P.M., New York City time, on Monday, December 6, 2021. BrightSphere accepted for purchase 34,917

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 3 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 3 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 10948W103 (CUSIP Number of Class of Common Stoc

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 2 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 10948W103 (CUSIP Number of Class of Common Stoc

Press Release, dated December 7, 2021

Exhibit a(5)(iii) Contact: Elie Sugarman [email protected] (617) 369-7300 For Immediate Release BRIGHTSPHERE ANNOUNCES PRELIMINARY RESULTS OF ITS TENDER OFFER BOSTON, MA, December 7, 2021 ? BrightSphere Investment Group Inc. (NYSE: BSIG) today announced the preliminary results of its tender offer, which expired at 5:00 P.M., New York City time, on Monday, December 6, 2021, to purchase for cash up to 33,

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 AMENDMENT NO. 1 BRIGHTSPHERE INVESTMENT GROUP INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 10948W103 (CUSIP Number of Class of Common Stoc

OMAM / OM Asset Management Plc / PAULSON & CO. INC. - AMENDMENT NO. 3 TO THE SCHEDULE 13D 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. 3)* BrightSphere Investment Group Inc. (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinbe

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) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? 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

Letter to Brokers, Banks and Other Nominees.

? ?Exhibit (a)(1)(iii)? Offer to Purchase for Cash by BrightSphere Investment Group Inc.

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 3, 2021 BrightSphere Inv

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 3, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

Form of Summary Advertisement

Exhibit (a)(5)(ii) This announcement is neither an offer to purchase nor a solicitation of an offer to sell shares of common stock of BrightSphere Investment Group Inc.

Letter of Transmittal (including IRS Form W-9).

? ?Exhibit (a)(1)(ii)? Letter of Transmittal For Tender of Shares of Common Stock of BrightSphere Investment Group Inc.

Letter to Clients for Use by Brokers, Banks and Other Nominees.

? ?Exhibit (a)(1)(iv)? Offer to Purchase for Cash by BrightSphere Investment Group Inc.

Current Report

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 3, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

Repurchase Agreement, dated November 3, 2021, by and among BrightSphere Investment Group Inc., Paulson & Co. Inc., Paulson Partners L.P. and Paulson Enhanced Ltd.

EX-10.1 2 tm2117471d9ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 STOCK REPURCHASE AGREEMENT This Stock Repurchase Agreement (this “Agreement”) is made as of the 3rd day of November, 2021, by and between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), Paulson & Co. Inc., a Delaware corporation (the “Seller”), and Paulson Partners L.P., a Delaware limited partnership, and Paulso

Offer to Purchase, dated November 4, 2021.

TABLE OF CONTENTS ?Exhibit (a)(1)(i)? Offer to Purchase by BrightSphere Investment Group Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 BRIGHTSPHERE INVESTMENT GROUP INC. (Name Of Subject Company (Issuer)

? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(D)(1) OR 13(E)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 BRIGHTSPHERE INVESTMENT GROUP INC. (Name Of Subject Company (Issuer) And Filing Person (Offeror)) Common Stock, par value $0.001 per share (Title of Class of Securities) 10948W103 (CUSIP Number of Common Stock) Su

BrightSphere Announces Fixed Price Tender Offer

Exhibit 99.1 Contact: Elie Sugarman [email protected] (617) 369-7300 For Immediate Release BrightSphere Announces Fixed Price Tender Offer ? Announces plans to launch a fixed price tender offer to repurchase up to 33,300,000 shares of common stock at a purchase price of $31.50 ? Following completion of the tender offer, if needed, BrightSphere will repurchase shares of common stock from certain funds ma

Repurchase Agreement among Brightsphere Investment Group Inc. and Paulson & Co. Inc. Paulson Partners L.P. and Paulson Enhanced Ltd., incorporated herein by reference to Exhibit 10.1 to Current Report on Form 8-K filed on November 4, 2021.

Exhibit 10.1 STOCK REPURCHASE AGREEMENT This Stock Repurchase Agreement (this ?Agreement?) is made as of the 3rd day of November, 2021, by and between BrightSphere Investment Group Inc., a Delaware corporation (the ?Company?), Paulson & Co. Inc., a Delaware corporation (the ?Seller?), and Paulson Partners L.P., a Delaware limited partnership, and Paulson Enhanced Ltd., a Cayman Islands company (to

Press Release

Exhibit 99.1 Contact: Elie Sugarman [email protected] (617) 369-7300 For Immediate Release BrightSphere Announces Fixed Price Tender Offer ? Announces plans to launch a fixed price tender offer to repurchase up to 33,300,000 shares of common stock at a purchase price of $31.50 ? Following completion of the tender offer, if needed, BrightSphere will repurchase shares of common stock from certain funds ma

Press Release, dated November 4, 2021.

Exhibit (a)(5)(i) Contact: Elie Sugarman [email protected] (617) 369-7300 For Immediate Release BrightSphere Announces Fixed Price Tender Offer ? Announces plans to launch a fixed price tender offer to repurchase up to 33,300,000 shares of common stock at a purchase price of $31.50 ? Following completion of the tender offer, if needed, BrightSphere will repurchase shares of common stock from certain fun

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2021 • U.S. GAAP earnings per share of $2.76 for the quarter, compared to $0.46 for Q3'20,

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2021 ? U.S. GAAP earnings per share of $2.76 for the quarter, compared to $0.46 for Q3'20, driven by gain on sale of Affiliates ? ENI earnings per share of $0.28 for the quarter, compared to $0.30 for Q3'20 (excluding Landmark Partners (?La

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): October 28, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

Amendment to Equity Purchase Agreement, dated as of July 22, 2021, by and among Pendal USA Inc., BrightSphere Inc. and TS&W Investment Holdings LP., incorporated herein by reference to Exhibit 10.2 to the Quarterly Report on Form 10-Q filed on August 9, 2021.

PENDAL USA INC. 53 State Street, 13th Floor Boston, Massachusetts 02109 July 22, 2021 BrightSphere Inc. c/o BrightSphere Investment Group Level 53, 200 Clarendon St. Boston, Massachusetts 02116 Attn: Chief Legal Officer TS&W Investment Holdings LP c/o WS&T Investment Holdings GP LLC c/o Thompson, Siegel & Walmsley LLC 6641 West Broad Street, Suite 600 Richmond, Virginia 23230 Attn: John L. Reifsni

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) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? 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

Equity Purchase Agreement, dated as of May 9, 2021, by and among BrightSphere Inc., TS&W Investment Holdings LP, Thompson, Siegel & Walmsley LLC, WS&T Investment Holdings GP LLC, Pendal USA Inc. and (solely for purposes of Sections 2.3.2(c), Article 7 and Section 11.17 thereof) Pendal Group Limited.

EQUITY PURCHASE AGREEMENT by and among BRIGHTSPHERE INC., TS&W INVESTMENT HOLDINGS LP, THOMPSON, SIEGEL & WALMSLEY LLC, WS&T INVESTMENT HOLDINGS GP LLC, PENDAL USA INC., and (solely for purposes of Section 2.3.2(c), Article 7, and Section 11.17) PENDAL GROUP LIMITED dated as of May 9, 2021 Table of Contents 1.DEFINITIONS; CERTAIN RULES OF CONSTRUCTION 2 1.1 Definitions 2 1.2 Certain Other Definiti

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): July 29, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2021 • U.S. GAAP earnings per share of $6.42 for the quarter, compared to $0.23 for Q2'20, dri

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2021 ? U.S. GAAP earnings per share of $6.42 for the quarter, compared to $0.23 for Q2'20, driven by the gain on sale of Landmark Partners (?Landmark?) ? ENI earnings per share of $0.40 for the quarter, compared to $0.24 for Q2'20 (excluding La

Current Report

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 23, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

Current Report

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 2, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Co

UNAUDITED PRO FORMA CONSOLIDATED FINANCIAL INFORMATION

Exhibit 99.1 UNAUDITED PRO FORMA CONSOLIDATED FINANCIAL INFORMATION On June 2, 2021, BrightSphere Investment Group Inc. (?BrightSphere?, ?BSIG? or the ?Company?) completed the sale of its equity interests in Landmark Partners, LLC (?Landmark?) to Ares Holdings L.P. (?Ares?). The accompanying unaudited pro forma consolidated financial information has been prepared by the Company in accordance with

Elie Sugarman

Contact: Elie Sugarman [email protected] (617) 369-7300 BrightSphere Investment Group Inc. Announces Agreement to sell Affiliate, Thompson, Siegel and Walmsley LLC ? BrightSphere and the management team of Thompson, Siegel and Walmsley LLC (?TSW?) have entered into an agreement to sell 100% of the equity interests in TSW to Pendal Group Limited (ASX: PDL) ?BrightSphere to receive $254 million in cash fo

Regulation FD Disclosure

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 9, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? 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

Equity Purchase Agreement, dated as of March 30, 2021, by and among BrightSphere (Landmark) LLC, Landmark Investment Holdings LP, Landmark Partners, LLC and Ares Holdings L.P., and solely with respect to Section 10.18, BrightSphere Investment Group Inc., and solely with respect to Sections 7.1.4 through 7.1.7, 7.9.6 and 7.13.2, Landmark Partners, Inc., and solely with respect to Section 2.1, Section 2.3, Section 3.1.7(a)-(b), Section 7.1.4, Section 7.9.5, Section 7.12.4, Section 7.12.5, Section 7.13.2 thereof, each Landmark Partner identified on Exhibit E, incorporated herein by reference to Exhibit 10.1 to Quarterly Report on Form 10-Q filed on May 7, 2021.

EQUITY PURCHASE AGREEMENT by and among BRIGHTSPHERE (LANDMARK) LLC, LANDMARK INVESTMENT HOLDINGS LP, LANDMARK PARTNERS, LLC, ARES HOLDINGS L.

The portion of our Definitive Proxy Statement for our 2021 Annual Meeting of Stockholders incorporated into our Annual Report on Form 10-K

Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- DEFA14A

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 ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2021 • U.S. GAAP earnings per share of $0.33 for the quarter, compared to $0.38 for Q1'20 • EN

EX-99.1 2 q121bsigearningspresenta.htm EX-99.1 1 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2021 • U.S. GAAP earnings per share of $0.33 for the quarter, compared to $0.38 for Q1'20 • ENI earnings per share of $0.34 for the quarter, compared to $0.30 for Q1'20; Landmark would have contrib

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): April 29, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (

Regulation FD Disclosure

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 30, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation) (

Elie Sugarman

EX-99.1 2 landmarkpressreleasemarch2.htm EX-99.1 Contact: Elie Sugarman [email protected] (617) 369-7300 BrightSphere Investment Group Inc. Announces Agreement to sell Affiliate, Landmark Partners LLC –BrightSphere and the management team of Landmark Partners LLC have entered into an agreement to sell 100% of the equity interests in Landmark to Ares Management Corporation. BrightSphere to receive approx

Employment Agreement, dated April 15, 2020, by and between BrightSphere Inc. and Richard Hart.

EX-10.31 2 richardhartemploymentagree.htm EX-10.31 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is effective as of the 15th day of April, 2020 by and between BrightSphere Inc., a Delaware corporation with an address at 200 Clarendon Street, 53rd Floor, Boston, Massachusetts 02116 (“BrightSphere”), and Richard Hart (the “Employee”). 1. DEFINITIONS In this Agreement, unless the c

Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? 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 001-38979 BrightSphere In

of BrightSphere Investment Group Inc.

EX-21.1 4 bsig123120ex211.htm EX-21.1 Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2020. Subsidiary Jurisdiction BrightSphere Investment Group Inc. Delaware BrightSphere Inc. Delaware BrightSphere International, Ltd. United Kingdom BrightSphere Capital L

Borrower Assignment and Assumption and Amendment Agreement, dated February 23, 2021, by and among BrightSphere Investment Group Inc., Acadian Asset Management LLC, the lenders from time to time party thereto and Citibank, N.A, as administrative agent.

BORROWER ASSIGNMENT AND ASSUMPTION AND AMENDMENT AGREEMENT dated as of February 23, 2021 (this “Assignment and Amendment”), is by and among BRIGHTSPHERE INVESTMENT GROUP INC.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)*

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Brightsphere Investment Group Inc. Title of Class of Securities: Common Stock CUSIP Number: 10948W103 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Sched

By signing below, Prudential Financial, Inc. certifies that, to the best of its

SC 13G/A 1 brig.htm DOCUMENT TYPE SC 13G/A TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment # 1 Name of Issuer: BRIGHTSPHERE INVESTMENT GROUP Title of Class of Securities: Common Stock CUSIP Number: 10948W103 1) NAME AND I.R.S. IDENTIFICATION NO. OF REPORTING PERSON Prudential Financial, Inc. 22-3703799 2.) MEMBER OF A

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 4, 2021 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation)

Exhibit 99.2 Q4 2020 EARNINGS PRESENTATION February 4, 2021 2 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2020 • U.S. GAAP earnings per

EX-99.1 2 bsigq4ep.htm EX-99.1 Exhibit 99.2 Q4 2020 EARNINGS PRESENTATION February 4, 2021 2 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2020 • U.S. GAAP earnings per share of $2.42 for the quarter, compared to $0.79 for Q4'19, driven by the gain on sale of Barrow Hanley • ENI earnings

2

December 11, 2020 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F.

UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL INFORMATION

Exhibit 99.1 UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL INFORMATION On November 17, 2020, BrightSphere Investment Group Inc. (“BrightSphere”, “BSIG” or the “Company”) completed the sale of its equity interests in Barrow, Hanley, Mewhinney & Strauss, LLC (“Barrow Hanley”) to Perpetual U.S. Holdings Company Inc. (“Perpetual”). The accompanying unaudited pro forma condensed consolidated fin

- 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 17, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ 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

Results of Operations and Financial Condition - 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, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation)

Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2020 • U.S. GAAP earnings per share of $0.46 for the quarter, compared to $0.84 for Q3'19 •

bsigearnpresentq320ex99 Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2020 • U.S. GAAP earnings per share of $0.46 for the quarter, compared to $0.84 for Q3'19 • ENI earnings per share of $0.47 for the quarter, compared to $0.42 for Q3'19 • Net client cash flows (“NCCF”) for the quarter

Amendment No. 1, dated September 3, 2020, to the Revolving Credit Agreement dated August 20, 2019, among BrightSphere Investment Group Inc., the lenders from time to time party thereto and Citibank, N.A., as administrative agent, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on September 4, 2020.

AMENDMENT NO. 1 dated as of September 3, 2020 (this “Amendment”), to the Revolving CREDIT Agreement dated as of August 20, 2019 (as amended, restated, supplemented or otherwise modified from time to time, the “Credit Agreement”), among BRIGHTSPHERE INVESTMENT GROUP INC., a Delaware corporation (the “Borrower”), the LENDERS from time to time party thereto and CITIBANK, N.A., as administrative agent

- 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): September 3, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ? 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

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): August 6, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (

Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2020 and Other Business Updates • U.S. GAAP earnings per share of $0.23 for the quarter, compare

q220bsigearningspresenta Contact: Elie Sugarman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2020 and Other Business Updates • U.S. GAAP earnings per share of $0.23 for the quarter, compared to $0.31 for Q2'19 • ENI earnings per share of $0.41 for the quarter, compared to $0.45 for Q2'19 • Announced divestiture o

Equity Purchase Agreement, dated as of July 26, 2020, by and among BrightSphere Intermediary (BHMS) LLC, BHMS Investment GP LLC, BHMS Investment Holdings LP, Barrow, Hanley, Mewhinney & Strauss, LLC., Perpetual US Holding Company, Inc., and, solely with respect to Section 11.16 thereof, Perpetual Limited, incorporated herein by reference to Exhibit 2.1 to the Current Report on Form 8-K filed on July 27, 2020.

EQUITY PURCHASE AGREEMENT by and among BRIGHTSPHERE INTERMEDIARY (BHMS) LLC, BHMS INVESTMENT GP LLC, BHMS INVESTMENT HOLDINGS LP, BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC, PERPETUAL US HOLDING COMPANY, INC.

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): July 24, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

Contact: Elie Sugarman [email protected] (617) 369-7300 BrightSphere Investment Group Inc. Announces Divestiture of Affiliates Barrow, Hanley, Mewhinney & Strauss and Copper Rock Capital Partners - Approximately $335 million of expected after-tax proceeds

pressreleaseandinvestord Contact: Elie Sugarman [email protected] (617) 369-7300 BrightSphere Investment Group Inc. Announces Divestiture of Affiliates Barrow, Hanley, Mewhinney & Strauss and Copper Rock Capital Partners - Approximately $335 million of expected after-tax proceeds from the divestitures enabling us to reduce debt and repurchase shares, which could generate double digit accretion to 2021 E

Current Report

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 24, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

- DEFA14A

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 ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

OMAM / OM Asset Management Plc / PAULSON & CO. INC. 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. 2)* BrightSphere Investment Group Inc. (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinbe

Form of Restricted Stock Award Agreement for Employees, incorporated herein by reference to Exhibit 10.12 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

Time-Vesting Restricted Stock Grant - U.S. Taxpayers BRIGHTSPHERE INVESTMENT GROUP INC. EQUITY INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT THIS RESTRICTED STOCK AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), and the Participant (the “Participant”). WITNESSETH: WHEREAS, the Co

Employment Agreement, dated May 8, 2020, by and between BrightSphere Inc. and Christina Wiater, incorporated herein by reference to Exhibit 10.13 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is effective as of the 15th day of April, 2020 by and between BrightSphere Inc.

Form of Option Award Agreement, incorporated herein by reference to Exhibit 10.9 to the Quarterly Report filed on Form 10-Q on May 11, 2020.

BRIGHTSPHERE INVESTMENT GROUP INC. EQUITY INCENTIVE PLAN OPTION AWARD AGREEMENT THIS OPTION AWARD AGREEMENT (this “Agreement”), is entered into as of , 20 , by and between BrightSphere Investment Group Inc., a Delaware corporation, and the “Participant”. WHEREAS, the Company has adopted the BrightSphere Investment Group Inc. Equity Incentive Plan (the “Plan”) for the benefit of the employees of th

Form of Restricted Stock Unit Award Agreement for Non-Employee Directors, incorporated herein by reference to Exhibit 10.6 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

Time-Based Vesting Restricted Stock Unit Grant - U.S. Taxpayers BRIGHTSPHERE INVESTMENT GROUP INC. NON-EMPLOYEE DIRECTORS’ EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), and (the “Participant”)

Amended and Restated Employment Agreement, effective April 15, 2020 by and between BrightSphere Investment Group Inc. and Suren Rana, incorporated herein by reference to Exhibit 10.11 to the Quarterly Report on Form 10-Q on May 11, 2020.

AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Agreement”) is effective as of the 15th day of April, 2020 by and between BrightSphere Inc.

Form of Restricted Stock Unit Award Agreement for Employees, incorporated herein by reference to Exhibit 10.8 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

BRIGHTSPHERE INVESTMENT GROUP INC. EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), and (the “Participant”). WITNESSETH: WHEREAS, the Company has adopted the BrightSphere Investment Group Inc. Eq

Option Award Agreement, effective April 21, 2020 by and between BrightSphere Investment Group Inc. and Suren Rana, incorporated herein by reference to Exhibit 10.10 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

BRIGHTSPHERE INVESTMENT GROUP INC. OPTION AWARD AGREEMENT THIS OPTION AWARD AGREEMENT (this “Agreement”), is entered into as of April 21, 2020, by and between BrightSphere Investment Group Inc. (the “Company”), and Suren Rana (the “Participant”). WHEREAS, pursuant to the terms of the Amended and Restated Employment Agreement effective April 15, 2020 between BrightSphere Inc. (“BrightSphere”) and t

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ? 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

Form of Restricted Stock Unit Award Agreement for U.K. Employees, incorporated herein by reference to Exhibit 10.7 to the Quarterly Report on Form 10-Q filed on May 11, 2020.

BRIGHTSPHERE INVESTMENT GROUP INC. EQUITY INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD AGREEMENT THIS RESTRICTED STOCK UNIT AWARD AGREEMENT (this “Agreement”) is made effective as of , 20 (the “Grant Date”) between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), and (the “Participant”). WITNESSETH: WHEREAS, the Company has adopted the BrightSphere Investment Group Inc. Eq

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 7, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (Com

Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2020 • U.S. GAAP earnings per share of $0.38 for the quarter, compared to $0.54 for Q1'19 •

bsigearningspresentation Contact: Investor Relations [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the First Quarter Ended March 31, 2020 • U.S. GAAP earnings per share of $0.38 for the quarter, compared to $0.54 for Q1'19 • ENI earnings per share of $0.40 for the quarter, compared to $0.40 for Q1'19 • Net client cash flows (“NCCF”) for the quarte

- DEFA14A

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 ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

- DEF 14A

Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

BrightSphere Names Suren Rana as Chief Executive Officer

Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Names Suren Rana as Chief Executive Officer BOSTON, April 16, 2020 - BrightSphere Investment Group Inc. (NYSE: BSIG) announced today that it has appointed its Chief Financial Officer, Suren Rana, as its Chief Executive Officer and President effective immediately. Mr. Rana will also join the Board of Directors. Guang Yang will be stepp

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 15, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (

Current Report

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, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-38979 47-1121020 (State or other jurisdiction of incorporation) (C

BSIG / BrightSphere Investment Group plc 10-K - Annual Report - 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ 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 001-38979 BrightSphere In

Description of Registrant’s Securities, incorporated herein by reference to Exhibit 4.9 to the Annual Report on Form 10-K filed on March 2, 2020.

DESCRIPTION OF REGISTRANT’S SECURITIES The following description of the capital stock of BrightSphere Investment Group Inc.

Subsidiaries of BrightSphere Investment Group Inc.

Exhibit 21.1 SUBSIDIARIES BrightSphere Investment Group Inc., a company incorporated and registered in Delaware had the domestic and international subsidiaries shown below as of December 31, 2019. Subsidiary Jurisdiction BrightSphere Investment Group Inc. Delaware BrightSphere Inc. Delaware BrightSphere International, Ltd. United Kingdom BrightSphere Capital LLC Delaware Acadian Asset Management L

BSIG / BrightSphere Investment Group plc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Brightsphere Investment Group Inc Title of Class of Securities: Common Stock CUSIP Number: 10948W103 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule

Contact: Brett Perryman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2019 • U.S. GAAP earnings per share of $0.79 for the quarter, compared to $0.84 for Q3'19 •

bsigearningspresentation Contact: Brett Perryman [email protected] (617) 369-7300 Exhibit 99.1 BrightSphere Reports Financial and Operating Results for the Fourth Quarter Ended December 31, 2019 • U.S. GAAP earnings per share of $0.79 for the quarter, compared to $0.84 for Q3'19 • ENI earnings per share of $0.50 for the quarter, compared to $0.42 for Q3'19, driven by year-end performance fees • AUM of $

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 6, 2020 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation)

BSIG / BrightSphere Investment Group plc / PRUDENTIAL FINANCIAL INC Passive Investment

13G HTML File DOCUMENT TYPE SC 13G TEXT SECURITIES AND EXCHANGE COMMISSION Washington, D.

Current Report

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 16, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation

OMAM / OM Asset Management Plc / PAULSON & CO. INC. - NOVEMBER 12, 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. 1)* BrightSphere Investment Group Inc. (Name of Issuer) Ordinary stock, par value $0.001 (Title of Class of Securities) G67506108 (CUSIP Number) Christopher P. Davis, Esq. Kleinbe

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ 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

T-1 Statement of Eligibility under the Trust Indenture Act of 1939 of a Corporation Designated to Act as Trustee

Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 o 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. employer identification no.) 1100 North Market Street Wilmington, DE 19890-0001 (Address of principal

BSIG / BrightSphere Investment Group plc S-3ASR - - S-3ASR

As filed with the Securities and Exchange Commission on November 12, 2019 Registration Statement No.

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 5, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation)

Contact: Brett Perryman Exhibit 99.1 [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2019 • U.S. GAAP earnings per share of $0.84 for the quarter, compared to $0.31 for Q2'19,

bsigearningspresq319 Contact: Brett Perryman Exhibit 99.1 [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Third Quarter Ended September 30, 2019 • U.S. GAAP earnings per share of $0.84 for the quarter, compared to $0.31 for Q2'19, includes income tax benefits arising from the reduction of tax reserves in Q3’19 • ENI earnings per share of $0.42 for the quarte

Current Report

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 17, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporatio

Revolving Credit Agreement dated as of August 20, 2019, among BrightSphere Investment Group Inc., a Delaware corporation, the lenders from time to time party thereto and Citibank N.A., as administrative agent for such lenders, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on August 21, 2019.

EX-10.1 2 ex101-creditfacilityau.htm EXHIBIT 10.1 Exhibit 10.1 REVOLVING CREDIT AGREEMENT dated as of August 20, 2019, among BRIGHTSPHERE INVESTMENT GROUP INC., THE LENDERS NAMED HEREIN, and CITIBANK, N.A., as Administrative Agent CITIBANK, N.A., RBC CAPITAL MARKETS1 and BMO CAPITAL MARKETS CORP. as Joint Lead Arrangers and Joint Bookrunners ROYAL BANK OF CANADA and BMO HARRIS BANK N.A. as Co-Synd

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 20, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation)

BSIG / BrightSphere Investment Group plc DEF 14A - - DEF 14A

Use these links to rapidly review the document TABLE OF CONTENTS CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

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) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ 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

Stockholder Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc. and Paulson & Co. Inc. incorporated herein by reference to Exhibit 10.5 to Quarterly Report on Form 10-Q filed on August 9, 2019.

Exhibit 10.5 STOCKHOLDER AGREEMENT BETWEEN BRIGHTSPHERE INVESTMENT GROUP INC. AND PAULSON & CO. INC. DATED AS OF MAY 17, 2019 STOCKHOLDERS AGREEMENT THIS STOCKHOLDERS AGREEMENT (this “Agreement”), dated as of May 17, 2019, is among BrightSphere Investment Group Inc., a Delaware corporation (the “Company”) and Paulson & Co. Inc. a Delaware corporation (on behalf of certain Related Persons, “Paulson

Fourth Supplemental Indenture, dated as of July 11, 2019, among BrightSphere Investment Group plc, as Original Issuer, BrightSphere Investment Group Inc., as Successor Company, Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Securities Administrator incorporated herein by reference to Exhibit 4.9 to Quarterly Report on Form 10-Q filed on August 9, 2019.

Exhibit 4.9 FOURTH SUPPLEMENTAL INDENTURE FOURTH SUPPLEMENTAL INDENTURE, dated as of July 11, 2019 (this “Supplemental Indenture”), among (i) BrightSphere Investment Group plc (formerly known as OM Asset Management PLC), a public limited company formed and existing under the laws of England and Wales (herein called the “Original Issuer”), (ii) BrightSphere Investment Group Inc., a Delaware corpora

Registration Rights Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc. and Paulson & Co. Inc. incorporated herein by reference to Exhibit 10.4 to Quarterly Report on Form 10-Q filed on August 9, 2019.

Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT dated as of May 17, 2019 by and among BrightSphere Investment Group Inc. and Paulson & Co. Inc. Table of Contents Page ARTICLE 1 DEFINITIONS 1 1.1 Definitions 1 1.2 Interpretation 3 ARTICLE 2 REGISTRATION RIGHTS 4 2.1 Shelf Registration 4 2.2 Demand Registrations 5 2.3 Priority 5 2.4 Piggyback Registrations 5 2.5 Lock-up Agreements 6 2.6 Registration Proc

Third Supplemental Indenture, dated as of July 11, 2019, among BrightSphere Investment Group plc, as Original Issuer, BrightSphere Investment Group Inc., as Successor Company, Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Securities Administrator incorporated herein by reference to Exhibit 4.8 to the Quarterly Report on Form 10-Q filed on August 9, 2019.

Exhibit 4.8 THIRD SUPPLEMENTAL INDENTURE THIRD SUPPLEMENTAL INDENTURE, dated as of July 11, 2019 (this “Supplemental Indenture”), among (i) BrightSphere Investment Group plc (formerly known as OM Asset Management PLC), a public limited company formed and existing under the laws of England and Wales (herein called the “Original Issuer”), (ii) BrightSphere Investment Group Inc., a Delaware corporati

Revolving Credit Agreement, dated October 15, 2014, as amended and restated as of July 11, 2019, by and among BrightSphere Investment Group Inc., certain lenders, and Citibank N.A., as administrative agent, with Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated, as joint book runners and joint lead arrangers, incorporated herein by reference to Exhibit 10.20 to the Quarterly Report on Form 10-Q filed on August 9, 2019.

Exhibit 10.20 REVOLVING CREDIT AGREEMENT dated as of October 15, 2014, as amended and restated as of July 11, 2019, among BRIGHTSPHERE INVESTMENT GROUP INC., THE LENDERS NAMED HEREIN, and CITIBANK, N.A., as Administrative Agent CITIGROUP GLOBAL MARKETS INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, as Joint Lead Arrangers and Joint Bookrunners TABLE OF CONTENTS Page ARTICLE I Definit

Specimen Common Stock Certificate of BrightSphere Investment Group Inc. incorporated herein by reference to Exhibit 4.1 to Quarterly Report on Form 10-Q filed on August 9, 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): August 1, 2019 BRIGHTSPHERE Investment Group Inc. Delaware 001-36683 47-1121020 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification Nu

Q2 2019 EARNINGS PRESENTATION Exhibit 99.2 August 1, 2019 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 Ac

bsigearningpresq219ex992 Q2 2019 EARNINGS PRESENTATION Exhibit 99.2 August 1, 2019 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,” “

BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2019

Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Reports Financial and Operating Results for the Second Quarter Ended June 30, 2019 • U.S. GAAP earnings per share of $0.31 for the quarter, down (42.6)% from Q1 2019 • ENI earnings per share of $0.45 for the quarter, an increase of 12.5% from Q1 2019 • AUM of $225.0 billion at June 30, 2019, up 1.2% from March 31, 2019 •

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 22, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 333-230202 47-1121020 (State or other jurisdiction of incorporation) (

BSIG / BrightSphere Investment Group plc S-8 - - S-8

As filed with the Securities and Exchange Commission on July 15, 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 Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 47-1121020 (State or Other Jurisdiction of Incorporation or (I.R.S. Employer Iden

Other Events

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 12, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 333-230202 47-1121020 (State or other jurisdiction of incorporation) (

Amended and Restated Bylaws of BrightSphere Investment Group Inc., adopted as of July 12, 2019, incorporated herein by reference to Exhibit 3.2 to the Current Report on Form 8-K12B filed on July 15, 2019.

Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF BRIGHTSPHERE INVESTMENT GROUP INC. ARTICLE 1 OFFICES; BOOKS Section 1.1 Registered Office. The registered office of BrightSphere Investment Group Inc. (the “Corporation”) in the State of Delaware shall be 251 Little Falls Drive, City of Wilmington, County of New Castle, Delaware 19808, and the registered agent in charge thereof shall be Corporation Servic

BrightSphere-Delaware’s Current Report on Form 8-K-12B filed with the SEC on July 15, 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 11, 2019 BrightSphere Investment Group Inc. (Exact name of registrant as specified in its charter) Delaware 333-230202 47-1121020 (State or other jurisdiction of incorporation) (

BrightSphere Investment Group Inc. Press Release, dated July 15, 2019.

EX-99.1 7 exhibit991-pressrelease.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Brett Perryman [email protected] (617) 369-7300 BrightSphere Completes Redomestication to the United States Boston, July 15, 2019 - BrightSphere Investment Group plc (NYSE: BSIG) today announced the completion of the redomestication process to change its publicly traded parent company from a United Kingdom company to a Delaware cor

BrightSphere Investment Group Inc. Equity Incentive Plan, incorporated herein by reference to Exhibit 10.2 to the Current Report on Form 8-K12B filed on July 15, 2019.

Exhibit 10.2 BrightSphere Investment Group Inc. Equity Incentive Plan An Amendment and Restatement of the BrightSphere Investment Group plc 2017 Equity Incentive Plan Effective July 12, 2019 Table of Contents Page Purpose 3 Definitions 3 Term of Plan 6 Stock Subject to Plan 6 Administration 7 Authorization of Grants 8 Specific Terms of Awards 9 Adjustment Provisions 13 Change of Control 15 Settlem

BrightSphere Investment Group Inc. Non-Employee Directors’ Equity Incentive Plan, incorporated herein by reference to Exhibit 10.3 to the Current Report on Form 8-K12B filed on July 15, 2019.

Exhibit 10.3 BrightSphere Investment Group Inc. Non-Employee Directors’ Equity Incentive Plan Effective July 12, 2019 An Amendment and Restatement of the BrightSphere Investment Group plc Non-Employee Directors’ Equity Incentive Plan Table of Contents Page Purpose 3 Definitions 3 Term of Plan 5 Stock Subject to Plan 5 Administration 6 Authorization of Grants 6 Specific Terms of Awards 7 Adjustment

Amended and Restated Certificate of Incorporation of BrightSphere Investment Group Inc., adopted as of July 12, 2019, incorporated herein by reference to Exhibit 3.1 to the Current Report on Form 8-K12B filed on July 15, 2019.

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BRIGHTSPHERE INVESTMENT GROUP INC. BrightSphere Investment Group Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify: 1. The present name of the Corporation is “BrightSphere Investment Group Inc.” The Corporation was originally incorporated by

Form of Indemnity Agreement, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K12B filed on July 15, 2019.

Exhibit 10.1 FORM OF INDEMNITY AGREEMENT THIS INDEMNITY AGREEMENT (this “Agreement”) is made as of [], 2019, by and between BrightSphere Investment Group Inc., a Delaware corporation (the “Company”), and [] (“Indemnitee”). RECITALS WHEREAS, highly competent persons have become more reluctant to serve publicly-held corporations as directors, officers or in other capacities unless they are provided

BRIGHTSPHERE Investment Group plc PROXY STATEMENT/PROSPECTUS PROPOSED REDOMESTICATION—YOUR VOTE IS IMPORTANT

Filed Pursuant to Rule 424(b)(3) Registration No. 333-230202 BRIGHTSPHERE Investment Group plc PROXY STATEMENT/PROSPECTUS PROPOSED REDOMESTICATION—YOUR VOTE IS IMPORTANT As we previously announced in November 2018, the Board of Directors of BrightSphere Investment Group plc (“BrightSphere-United Kingdom” and such board, the “Board”) has decided to restructure our corporate group, which consists of

BSIG / BrightSphere Investment Group plc S-4/A - - S-4/A

As filed with the Securities and Exchange Commission on May 31 , 2019 Registration No.

BSIG / BrightSphere Investment Group plc CORRESP - -

Guang Yang Chief Executive Officer BrightSphere Investment Group Inc. 200 Clarendon Street, 53rd Floor Boston, MA 02116 May 31, 2019 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Commodities 100 F Street, N.E. Washington, D.C. 20549 Attention: Cara Lubit Hugh West Jessica Livingston Pam Long Re: BrightSphere Investment Group In

Stockholder Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc. and Paulson & Co. Inc.

Exhibit 10.3 STOCKHOLDER AGREEMENT BETWEEN BRIGHTSPHERE INVESTMENT GROUP INC. AND PAULSON & CO. INC. DATED AS OF MAY 17, 2019 STOCKHOLDERS AGREEMENT THIS STOCKHOLDERS AGREEMENT (this “Agreement”), dated as of May 17, 2019, is among BrightSphere Investment Group Inc., a Delaware corporation (the “Company”) and Paulson & Co. Inc. a Delaware corporation (on behalf of certain Related Persons, “Paulson

BSIG / BrightSphere Investment Group plc S-4/A - - S-4/A

As filed with the Securities and Exchange Commission on May 22 , 2019 Registration No.

Registration Rights Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc. and Paulson & Co. Inc.

Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT dated as of May 17, 2019 by and among BrightSphere Investment Group Inc. and Paulson & Co. Inc. Table of Contents Page ARTICLE 1 DEFINITIONS 1 1.1 Definitions 1 1.2 Interpretation 3 ARTICLE 2 REGISTRATION RIGHTS 4 2.1 Shelf Registration 4 2.2 Demand Registrations 5 2.3 Priority 5 2.4 Piggyback Registrations 5 2.5 Lock-up Agreements 6 2.6 Registration Proc

Voting Agreement, dated May 17, 2019, between BrightSphere Investment Group plc and Paulson & Co. Inc.

Exhibit 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.

BSIG / BrightSphere Investment Group plc S-4/A S-4/A

As filed with the Securities and Exchange Commission on May 14 , 2019 Registration No.

BSIG / BrightSphere Investment Group plc CORRESP - -

Guang Yang Chief Executive Officer BrightSphere Investment Group Inc. 200 Clarendon Street, 53rd Floor Boston, MA 02116 May 14, 2019 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Commodities 100 F Street, N.E. Washington, D.C. 20549 Attention: Cara Lubit Hugh West Jessica Livingston Pam Long Re: BrightSphere Investment Group In

BSIG / BrightSphere Investment Group plc CORRESP - -

secbsigdraftresponseforf MOI·gan Lewis Christina Edling Melendi Partner +1.212.309.6949 christina [email protected] May 6,2019 VIA EMAIL AND EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Commodities 100 F Street, N.E. Washington, D.C. 20549 Attention: Cara Lubit Hugh West Jessica Livingston Pam Long Re: BrightSphere Investme

Form of Registration Rights Agreement to be entered into between BrightSphere Investment Group Inc. and Paulson & Co. Inc.

Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT dated as of [●], 2019 by and among BrightSphere Investment Group Inc. and Paulson & Co. Inc. Table of Contents Page ARTICLE 1 DEFINITIONS 1 1.1 Definitions 1 1.2 Interpretation 3 ARTICLE 2 REGISTRATION RIGHTS 4 2.1 Shelf Registration 4 2.2 Demand Registrations 5 2.3 Priority 5 2.4 Piggyback Registrations 5 2.5 Lock-up Agreements 6 2.6 Registration Procedu

Form of Stockholder Agreement to be entered into between BrightSphere Investment Group Inc. and Paulson & Co. Inc.

Exhibit 10.3 STOCKHOLDER AGREEMENT BETWEEN BRIGHTSPHERE INVESTMENT GROUP INC. AND PAULSON & CO. INC. DATED AS OF [ ], 2019 STOCKHOLDERS AGREEMENT THIS STOCKHOLDERS AGREEMENT (this “Agreement”), dated as of , 2019, is among BrightSphere Investment Group Inc., a Delaware corporation (the “Company”) and Paulson & Co. Inc. a Delaware corporation (on behalf of certain Related Persons, “Paulson”). This

Form of Voting Agreement to be entered into between BrightSphere Investment Group plc and Paulson & Co. Inc.

EX-10.5 5 exhibit105votingagreement.htm EXHIBIT 10.5 Exhibit 10.5 VOTING AGREEMENT VOTING AGREEMENT (this “Agreement”), dated as of April , 2019, among BrightSphere Investment Group plc, a company organized under the laws of England and Wales (the “Company”), and Paulson & Co. Inc., a Delaware corporation (on behalf of the funds and accounts managed by it and its affiliates, the “Shareholder”). WH

BSIG / BrightSphere Investment Group plc S-4/A

As filed with the Securities and Exchange Commission on April 24 , 2019 Registration No.

BSIG / BrightSphere Investment Group plc CORRESP - -

Guang Yang Chief Executive Officer BrightSphere Investment Group Inc. 200 Clarendon Street, 53rd Floor Boston, MA 02116 April 24, 2019 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Commodities 100 F Street, N.E. Washington, D.C. 20549 Attention: Cara Lubit Hugh West Jessica Livingston Pam Long Re: BrightSphere Investment Group

Original Filing

As filed with the Securities and Exchange Commission on March 11, 2019 Registration No.