Acadian Asset Management Inc. 10-Q

Item 1A. Risk Factors. There have been no material changes in the risk factors described in the Company's Annual Report on Form 10-K for the year ended December 31, 2020. Item 5. Other Events. At the Annual Meeting of Stockholder held on June 23, 2021, the Company's stockholders voted, on an advisory basis, in favor of holding an annual advisory vote on the compensation of our named executives officers, or Say-on-Pay Vote, as previously reported in the Form 8-K filed by the Company on June 25, 2021. Based on these results, and consistent with its recommendation, the Board has determined that the Company will hold an annual Say-on-Pay Vote unless changed as a result of a subsequent vote on the frequency of future Say-on-Pay votes. 85 Table of Contents Item 6. Exhibits. Exhibit No. Description 3.1 Amended and Restated Certificate of Incorporation of BrightSphere Investment Group Inc., adopted as of July 12, 2019, incorporated herein by reference to Exhibit 3.1 to the Current Report on Form 8-K12B filed on July 15, 2019. 3.2 Amended and Restated Bylaws of BrightSphere Investment Group Inc., adopted as of July 12, 2019, incorporated herein by reference to Exhibit 3.2 to the Current Report on Form 8-K12B filed on July 15, 2019. 10.1* Equity Purchase Agreement, dated as of May 9, 2021, by and among BrightSphere Inc., TS&W Investment Holdings LP, Thompson, Siegel & Walmsley LLC, WS&T Investment Holdings GP LLC, Pendal USA Inc. and (solely for purposes of Sections 2.3.2(c), Article 7 and Section 11.17 thereof) Pendal Group Limited. 10.2* Amendment to Equity Purchase Agreement, dated as of July 22, 2021, by and among Pendal USA Inc., BrightSphere Inc. and TS&W Investment Holdings LP. 31.1* Certification of the Company’s principal executive officer pursuant to Exchange Act Rules 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2* Certification of the Company’s principal financial officer pursuant to Exchange Act Rules 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32.1** Certification of the Company’s principal executive officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 32.2** Certification of the Company’s principal financial officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101* Interactive data files pursuant to Rule 405 of Regulation S-T: (i) the Condensed Consolidated Balance Sheets as of June 30, 2021 and December 31, 2020, (ii) the Condensed Consolidated Statements of Operations for the three and six months ended June 30, 2021 and 2020, (iii) the Condensed Consolidated Statements of Comprehensive Income for the three and six months ended June 30, 2021 and 2020, (iv) the Condensed Consolidated Statements of Changes in Stockholders’ Equity for the three months ended June 30, 2021 and 2020, (v) the Condensed Consolidated Statements of Changes in Stockholders’ Equity for the six months ended June 30, 2021 and 2020, (vi) the Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2021 and 2020, and (vii) the Notes to Financial Statements. 104* The cover page of this Quarterly Report on Form 10-Q, formatted in Inline eXtensible Business Reporting Language * Filed herewith ** Furnished herewith 86 Table of Contents SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. BrightSphere Investment Group Inc. Dated: August 9, 2021 By: /s/ Suren Rana Suren Rana President and Chief Executive Officer (principal executive officer) /s/ Christina Wiater Christina Wiater Senior Vice President and Principal Financial Officer (principal financial officer and principal accounting officer) 87