| Accession Number: | 0001209191-21-029606 |
| Date: | 2021-04-29 |
| Issuer: | INVESCO LTD. (IVZ) |
| Original Submission Date: |
PELTZ NELSON
223 SUNSET AVENUE, SUITE 223
PALM BEACH, FL 33480
TRIAN FUND MANAGEMENT, L.P.
280 PARK AVENUE, 41W
NEW YORK, NY 10017
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON SHARES | 2021-04-29 | A | 1,311 | a | $0.00 | 2,409 | direct | ||
| COMMON SHARES | 2021-04-29 | 0 | $0.00 | 36,739,343 | indirect | f2 |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|
| ID | footnote |
|---|---|
| f1 | trian fund management, l.p. ("trian management") serves as the management company for trian partners am holdco, ltd. ("trian am holdco") and assuch determines the investment and voting decisions of trian am holdco with respect to the shares of the issuer held by it. mr. peltz is a member of trian fund management gp, llc, which is the general partner of trian management, and therefore is in a position to determine the investment and voting decisions made by trian management on behalf of trian am holdco. accordingly, mr. peltz and trian management may be deemed to indirectlybeneficially own (as that term is defined in rule 13d-3 under the securities exchange act of 1934) the shares beneficially owned by trian am holdco |
| f2 | (fn 1, contd.) the reporting persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the reporting persons are the beneficial owner of such securities for purposes of section 16 or for any other purpose. mr. peltz is a director of the issuer. |
