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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MM Asset Management Holding LLC 1295 STATE STREET SPRINGFIELD, MA 01111 |
X | |||
MassMutual Holding LLC 1295 STATE STREET SPRINGFIELD, MA 01111 |
X |
MASSMUTUAL HOLDING LLC By: /s/ Jaime Genua Name: Jaime Genua Title: Assistant Secretary | 05/02/2022 | |
**Signature of Reporting Person | Date | |
MM ASSET MANAGEMENT HOLDING LLC By: /s/ Jaime Genua Name: Jaime Genua Title: Assistant Secretary | 05/02/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | As part of an internal reorganization of its ownership of shares of Common Stock, $0.20 par value of Invesco Ltd., Massachusetts Mutual Life Insurance Company contributed such shares to MM Asset Management Holding LLC its indirect, wholly-owned subsidiary. Such transfer does not represent any change to the aggregate number of shares of Common Stock owned by Massachusetts Mutual Life Insurance Company and its subsidiaries. |
(2) | These securities are held directly by MM Asset Management Holding LLC. MassMutual Holding LLC is the sole owner of MM Asset Management Holding LLC. Massachusetts Mutual Life Insurance Company is the sole owner of MassMutual Holding LLC. |