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OMB Number:3235-0101
Expires:December 31, 2009
Estimated average burden
hours per response 2.00
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| SEC USE ONLY |
| DOCUMENT SEQUENCE NO. |
| CUSIP NUMBER |
| WORK LOCATION |
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ATTENTION:
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Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
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or executing a sale directly with a market maker.
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1 (a) NAME OF ISSUER (Please type or print)
Invesco Ltd.
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(b) IRS IDENT. NO.
98-0557567
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(c) S.E.C. FILE NO.
1-13908
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE
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(e) TELEPHONE NO.
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Two Peachtree Pointe, 1555 Peachtree Street, NE, Suite 1800 Atlanta GA 30309
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AREA CODE
404
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NUMBER
892-0896
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
David Hartley
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(b) RELATIONSHIP TO ISSUER
Officer
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(c) ADDRESS STREET CITY STATE ZIP CODE
1555 Peachtree St. NE Suite 1800, Atlanta GA 30309
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| 3 | (a) |
(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each Broker Through Whom the
Securities are to be Offered or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common Shares
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UBS AG, Wealth Management, 1 Curzon Street, London W1J5UB, United Kingdom
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12,500 | $ | 339,375 | 462,055,518 |
02/17/2011
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New York Stock Exchange
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INSTRUCTIONS:
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3. (a) Title of the class of securities to be sold
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1. (a) Name of issuer
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(b) Name and address of each broker through whom the securities are intended to be sold
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(b) Issuer’s I.R.S. Identification Number
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(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
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(c) Issuer’s S.E.C. file number, if any
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(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
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(d) Issuer’s address, including zip code
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(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as
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(e) Issuer’s telephone number, including area code
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shown by the most recent report or statement published by the issuer
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(f) Approximate date on which the securities are to be sold
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2. (a) Name of person for whose account the securities are to be sold
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(g) Name of each securities exchange, if any, on which the securities are intended to be sold
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(b) Such person’s relationship to the issuer (e.g., officer, director, 10% sockholder, or member of immediate family of any of the foregoing)
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(c) Such person’s address, including zip code
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Title of
the Class
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Date you Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of Securities Acquired
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Date of Payment
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Nature of Payment
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Common Shares
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02/17/2011
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Exercise of employee stock option (right to buy)
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Issuer
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12,500
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02/17/2011
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Sale of Common Shares to cover option exercise price (cashless exercise)
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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.
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Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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- n/a -
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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.
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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 a
nd 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.
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02/17/2011
DATE OF NOTICE
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/s/ David Hartley
SIGNATURE
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__________________________________________________
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
IF RELYING ON RULE 10B5-1
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The notice shall be signed by the person for whose account the securities are to be
sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed o printed signatures.
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ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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