OMB APPROVAL
OMB Number: 3235-0100
Expires: December 31, 2009
Estimated average burder
hours per response........2.00
SEC USE ONLY
DOCUMENT SEQUENCE NO
CUSIP NUMBER
WORK LOCATION
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
or executing a sale directly with a market maker.
1 (a) NAME OF ISSUER (Please type or print) Invesco Ltd. |
(b) IRS IDENT. NO. 98-0557567 |
(c) S.E.C. FILE NO. 1-13908 |
|||||
1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE |
(e) TELEPHONE NO. |
||||||
Two Peachtree Pointe, 1555 Peachtree Street, NE, Suite 1800 Atlanta GA 30309 |
AREA CODE 404 |
NUMBER 892-0896 |
|||||
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Andrew Lo |
(b) RELATIONSHIP TO ISSUER Officer |
(c) ADDRESS STREET CITY STATE ZIP CODE 1555 Peachtree St., NE, Ste. 1800, Atlanta GA 30309 |
|||||
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) |
(b) |
SEC USE ONLY |
(c) |
(d) |
(e) |
(f) |
(g) |
||
Title of the |
Name and Address of Each Broker Through Whom the |
Broker-Dealer |
Number of Shares (See instr. 3(c)) |
Aggregate (See instr. 3(d)) |
Number of Shares (See instr. 3(e)) |
Approximate (See instr. 3(f)) (MO. DAY YR.) |
Name of Each (See instr. 3(g)) |
||
Common Shares |
UBS AG, Wealth Management, 1 Curzon Street, London W1J5UB, United Kingdom |
12,500 |
$278,125 |
428,778,213 |
12/3/2009 |
New York Stock Exchange |
|||
INSTRUCTIONS: |
3. (a) Title of the class of securities to be sold |
||||||||
1. (a) Name of issuer |
(b) Name and address of each broker through whom the securities are intended to be sold |
||||||||
(b) Issuer’s I.R.S. Identification Number |
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) |
||||||||
(c) Issuer’s S.E.C. file number, if any |
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice |
||||||||
(d) Issuer’s address, including zip code |
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer |
||||||||
(e) Issuer’s telephone number, including area code |
(f) Approximate date on which the securities are to be sold |
||||||||
(g) Name of each securities exchange, if any, on which the securities are intended to be sold |
|||||||||
2. (a) Name of person for whose account the securities are to be sold |
|
||||||||
(b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) |
|||||||||
(c) Such person’s address, including zip code |
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (08-07)
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of |
Date you Acquired |
Nature of Acquisition Transaction |
Name of Person from Whom Acquired |
Amount of Securities Acquired |
Date of Payment |
Nature of Payment |
||
Common Shares |
12/3/2009 |
Exercise of employee stock option (right to buy) |
Issuer |
12,500 |
12/3/2009 |
Sale of Common Shares to cover option exercise price (cashless exercise) |
||
INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of |
Gross Proceeds |
- n/a - |
REMARKS:
INSTRUCTIONS: See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If each person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. |
|||
12/4/2009 Date of Service |
/s/ Andrew
Lo |
|||
__________________________________________________ DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, |
The notice shall be signed by the person for whose account the securities are to be sold. At least one |
|||
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
fb.us.2539144.01
SEC 1147 (04-07)