Invesco (NYSE: IVZ) HR chief gains shares from RSU vesting and tax withholding

Rhea-AI Filing Summary

Invesco Ltd.'s Senior Managing Director and Chief Human Resources Officer, Alan Leonard Smith, reported routine equity compensation activity. On March 13, 2026, he exercised 8,641 Restricted Stock Units, converting them into the same number of common shares. The filing also records an acquisition of 8,641 common shares at a price of $0.00 per share, reflecting a grant or award rather than a market purchase. To cover tax obligations, 3,849 common shares were withheld at $23.00 per share, a non‑market disposition. After these transactions, he directly holds 14,489 common shares. Footnotes note that each Restricted Stock Unit represents a contingent right to receive one common share and that such units vest in four equal annual installments.

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

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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)
03/13/2026

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	03/13/2026		A		8,641	A	$0	18,338	D
Common Shares	03/13/2026		F		3,849	D	$23	14,489	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	03/13/2026		M			8,641	(2)	(2)	Common Shares	8,641	$0	8,641	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 four equal annual installments and expire upon the employee's termination of employment.

Remarks:

	/s/ Rebecca Smith, as Attorney-in-Fact	03/17/2026
	** 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.
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FAQ

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

Invesco reported that Alan Leonard Smith exercised 8,641 Restricted Stock Units into common shares, received an award of 8,641 common shares, and had 3,849 shares withheld at $23.00 per share to cover tax obligations on March 13, 2026.

How many Invesco (IVZ) shares does Alan Leonard Smith hold after this Form 4?

Following the reported transactions, Alan Leonard Smith directly holds 14,489 Invesco common shares. This figure reflects his position after the RSU conversion, the share award, and the share withholding used to satisfy associated tax liabilities.

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

The filing shows no open-market buys or sales. It records an RSU exercise, a grant or award of 8,641 common shares at $0.00, and a tax-withholding disposition of 3,849 shares at $23.00 per share.

What do the Restricted Stock Units in the Invesco (IVZ) filing represent?

Each Restricted Stock Unit represents a contingent right to receive one Invesco common share. Footnotes explain that these RSUs vest in four equal annual installments and expire upon the employee’s termination of employment, aligning them with long-term service and retention.

What role does Alan Leonard Smith hold at Invesco (IVZ) in this Form 4?

Alan Leonard Smith is identified as an officer of Invesco Ltd. with the title Senior Managing Director (SMD) and Chief Human Resources Officer (CHRO). The reported equity transactions relate to his compensation in that executive role.