Invesco (NYSE: IVZ) HR chief reports RSU awards, conversions and tax share disposition

Rhea-AI Filing Summary

Invesco Ltd. senior managing director and chief human resources officer Alan Leonard Smith reported several equity compensation transactions dated February 28, 2026. He exercised 8,936 Restricted Stock Units, which converted into the same number of common shares, and received a new grant of 32,202 Restricted Stock Units at no cost.

He was also awarded 8,936 common shares, while 4,014 common shares were disposed of at $26.26 per share to cover tax obligations. The footnotes state each Restricted Stock Unit equals one common share and that the units vest in three equal installments and expire upon termination of employment.

Insider Trade Summary

Net Buyer: 4,922 shares

Net Buy 4 txns

Insider Smith Alan Leonard

Role SMD and CHRO

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	8,936	$0.00	$0.00
Grant/Award	Restricted Stock Units	32,202	$0.00	$0.00
Grant/Award	Common Shares	8,936	$0.00	$0.00
Exercise Price or Tax Liability	Common Shares	4,014	$26.26	$105K

Holdings After Transaction: Restricted Stock Units — 59,010 shares (Direct); Common Shares — 9,697 shares (Direct)

Footnotes (2)

1. F1. Each Restricted Stock Unit represents a contingent right to receive one Common Share of Invesco Ltd.
2. F2. The Restricted Stock Units vest in three equal installments and expire upon the employee's termination of employment.

FAQ

What insider transactions did Invesco (IVZ) executive Alan Leonard Smith report?

Alan Leonard Smith reported equity compensation activity, including RSU exercises, new RSU grants, share awards, and tax-related share dispositions. These transactions reflect routine compensation mechanics rather than open-market trades and adjust his direct holdings in Invesco common shares and Restricted Stock Units.

How many Restricted Stock Units did the Invesco (IVZ) executive acquire in this Form 4?

He acquired 32,202 Restricted Stock Units as a new grant and exercised 8,936 existing units. Each Restricted Stock Unit represents a contingent right to receive one Invesco common share, vesting in three equal installments, subject to continued employment with the company.

How many Invesco (IVZ) common shares were disposed of for taxes in this filing?

The filing reports a disposition of 4,014 Invesco common shares at a price of $26.26 per share. This transaction is coded “F,” indicating shares were delivered to satisfy tax liabilities associated with equity awards, rather than an open-market sale transaction by the executive.

What does the RSU vesting schedule look like for the Invesco (IVZ) executive’s grant?

The footnotes explain that the Restricted Stock Units vest in three equal installments. They also expire upon the employee’s termination of employment, meaning continued service is required for the executive to fully realize the underlying Invesco common shares from these RSU awards.

How did these transactions affect the Invesco (IVZ) executive’s reported share holdings?

After the tax-withholding disposition, his directly held common shares totaled 9,697. For RSUs, one transaction shows 26,808 units following an exercise, while another shows 32,202 units from a fresh grant, reflecting separate blocks of contingent equity awards reported in the filing.

Are the Invesco (IVZ) insider transactions open-market buys or sales?

No open-market buys or sales are reported. The Form 4 shows RSU exercises, grants, and related share awards, plus a tax-withholding share disposition. These are equity compensation administration events, not discretionary purchases or sales on the open market by the executive.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 03/03/2026 - 09:56 AM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Smith Alan Leonard

(Last) (First) (Middle)

1331 SPRING STREET NW

SUITE 2500

(Street)

ATLANTA GA 30309

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Invesco Ltd. [ IVZ ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SMD and CHRO

3. Date of Earliest Transaction (Month/Day/Year)
02/28/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares	02/28/2026		A		8,936	A	$0	13,711	D
Common Shares	02/28/2026		F		4,014	D	$26.26	9,697	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units(1)	$0	02/28/2026		M			8,936	(2)	(2)	Common Shares	8,936	$0	26,808	D
Restricted Stock Units(1)	$0	02/28/2026		A		32,202		(2)	(2)	Common Shares	32,202	$0	32,202	D

Explanation of Responses:

1. Each Restricted Stock Unit represents a contingent right to receive one Common Share of Invesco Ltd.

2. The Restricted Stock Units vest in three equal installments and expire upon the employee's termination of employment.

Remarks:

	/s/ Rebecca Smith, as Attorney-in-Fact	03/03/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.