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Item 9A. Controls and Procedures

2025-02-27 compared with 2024-02-28 · 36 added, 39 removed, 109 unchanged (41% of the section changed)

18 unchanged sentences

Directors, Executive Officers and Corporate Governance.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2024 annual meeting of shareholders.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2025 annual meeting of stockholders.

Executive Compensation.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2024 annual meeting of shareholders.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2025 annual meeting of stockholders.

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2024 annual meeting of shareholders.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2025 annual meeting of stockholders.

Certain Relationships and Related Transactions, and Director Independence.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2024 annual meeting of shareholders.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2025 annual meeting of stockholders.

Principal Accountant Fees and Services.

Our independent registered public accounting firm is KPMG LLP, Boston, MA, Auditor Firm ID:

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2024 annual meeting of shareholders.

The information required by this Item will be set forth in our definitive proxy statement required to be filed pursuant to Regulation 14A for the 2025 annual meeting of stockholders.

Exhibits, Financial Statements Schedules.

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(3) Exhibits:

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 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 February 27, 2023, incorporated herein by reference to Exhibit 3.2 to Annual Report on Form 10-K filed on February 28, 2023.

4.1 Specimen Common Stock Certificate of BrightSphere Investment Group Inc.

incorporated herein by reference to Exhibit 4.1 to Quarterly Report on Form 10-Q filed on August 9, 2019.

3.1 * Am ended and Restated Certificate of Incorporation, adopted as of July 12, 2019.

3.2 * C ertificate of Amendment to Amended and Restated Certificate of Incorporation , effective January 1, 2025 .

3.3 * Amended and Restated Bylaws, adopted as of February 27, 2023.

3.4 * A mendment No.

1 to Ame nded and Restated Bylaws , effective Jan uary 1, 2025 .

4.1 Specimen Common Stock Certificate incorporated herein by reference to Exhibit 4.1 to Quarterly Report on Form 10-Q filed on August 9, 2019.

4.2 Base Indenture, dated as of July 25, 2016, among OM Asset Management plc, as Issuer, Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Securities Administrator, incorporated herein by reference to Exhibit 4.1 to Current Report on Form 8-K filed on July 25, 2016.

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4.5 Third Supplemental Indenture, dated as of July 11, 2019, among BrightSphere Investment Group plc, as Original Issuer, BrightSphere Investment Group Inc., as Successor Company, Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Securities Administrator incorporated herein by reference to Exhibit 4.8 to the Quarterly Report on Form 10-Q filed on August 9, 2019.

4.6 Description of Registrant’s Securities, incorporated herein by reference to Exhibit 4.9 to the Annual Report on Form 10-K filed on March 2, 2020.

10.1 BrightSphere Investment Group Inc.

Equity Incentive Plan, incorporated herein by reference to Exhibit 10.2 to the Current Report on Form 8-K12B filed on July 15, 2019.

4.6 * Description of Registrant’s Securities .

10.1 * Acadian Asset Management Inc.

Equity Incentive Plan .

10.2 Registration Rights Agreement, dated May 17, 2019, between BrightSphere Investment Group Inc.

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incorporated herein by reference to Exhibit 10.2 to Quarterly Report on Form 10-Q filed on August 9, 2019.

10.4 Form of Indemnity Agreement, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K12B filed on July 15, 2019.

10.5 Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, effective July 1, 2017, incorporated herein by reference to Exhibit 10.10 to Annual Report on Form10-K filed on February 28, 2018.

10.6 BrightSphere Investment Group Inc.

Non-Employee Directors’ Equity Incentive Plan, incorporated herein by reference to Exhibit 10.3 to the Current Report on Form 8-K12B filed on July 15, 2019.

10.7 Employment Agreement, dated January 20, 2019, by and between BrightSphere Inc.

and Suren Rana, incorporated herein by reference to Exhibit 10.27 to Annual Report on Form 10-K filed on February 28, 2019.

10.8 Form of Restricted Stock Unit Award Agreement for Non-Employee Directors, incorporated herein by reference to Exhibit 10.6 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.9 Form of Restricted Stock Unit Award Agreement for Employees, incorporated herein by reference to Exhibit 10.8 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.10 Form of Option Award Agreement, incorporated herein by reference to Exhibit 10.9 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.11 Option Award Agreement, effective April 21, 2020 by and between BrightSphere Investment Group Inc.

and Suren Rana, incorporated herein by reference to Exhibit 10.10 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.4 * Form of Indemnity Agreement.

10.5 * Eight h Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 31 , 20 24 .

10.6 * Acadian Asset Management Inc.

Non-Employee Directors’ Equity Incentive Plan.

10.7 * Form of Restricted Stock Unit Award Agreement for Non-Employee Directors .

10.8 * Form of Restricted Stock Unit Award Agreement for Employees .

10.9 Amended and Restated Employment Agreement, effective April 15, 2020 by and between BrightSphere Investment Group Inc.

and Suren Rana, incorporated herein by reference to Exhibit 10.11 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.13 Form of Restricted Stock Award Agreement for Employees, incorporated herein by reference to Exhibit 10.12 to the Quarterly Report on Form 10-Q on May 11, 2020.

10.10 Employment Agreement, dated April 15, 2020, by and between BrightSphere Inc.

and Richard Hart, incorporated herein by reference to Exhibit 10.31 to Annual Report on Form 10-K filed on March 1, 2021.

10.15 Form of Option Award Agreement incorporated herein by reference to Exhibit 10.33 to Annual Report on Form 10-K filed on February 28, 2022.

10.16 Amendment to the Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 30, 2022 incorporated herin by reference to Exhibit 10.19 to the Annual Report on Form 10-K filed on February 28, 2023.

10.11 Amended and Restated Employment Agreement, dated May 4, 2023, by and between BrightSphere Inc.

and Christina Wiater incorporated herein by reference to Exhibit 10.

1 to the Quarterly Report on Form 10-Q filed on May 8 , 202 3 .

Second Amendment to the Seventh Amended and Restated Limited Liability Company Agreement of Acadian Asset Management LLC, dated December 30, 2023.

21.1 * Subsidiaries of BrightSphere Investment Group Inc.

and Christina Wiater incorporated herein by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q filed on May 8, 2023.

10.12 Employment Agreement, dated September 30, 2024, by and among the Company, Acadian and Kelly Young, incorporated herein by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on October 1, 2024.

10.13 * Amended and Restated Acadian Asset Management LLC Bonus Plan, effective January 1, 2025.

10.14 * Amended and Restated Acadian Asset Management LLC Deferred Compensation Plan, effective January 1, 2025.

19 * A cadian Asset Man agement Inc.

I nsider Trading Policy.

21.1 * Subsidiaries of Acadian Asset Management Inc.

23.1 * Consent of KPMG LLP

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Pursuant to the requirements of Section 13 or 15(d) 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.

Acadian Asset Management Inc.

February 27, 2025

/s/ Suren Rana

/s/ Kelly Young

President and Chief Executive Officer

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Signature Title Date

/s/ SUREN RANA

Suren Rana President and Chief Executive Officer February 28, 2024

/s/ KELLY YOUNG

President and Chief Executive Officer February 27, 2025

/s/ JOHN PAULSON

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Report of Independent Registered Public Accounting Firm

BrightSphere Investment Group Inc.

Acadian Asset Management Inc.

Consolidated Balance Sheets (in millions)

BrightSphere Investment Group Inc.

Acadian Asset Management Inc.

Consolidated Statements of Operations (in millions except for per share data)

BrightSphere Investment Group Inc.

Acadian Asset Management Inc.

Consolidated Statements of Comprehensive Income (in millions)

BrightSphere Investment Group Inc.

Acadian Asset Management Inc.

Consolidated Statements of Cash Flows (in millions)

BrightSphere Investment Group Inc.

Acadian Asset Management Inc.

Notes to Consolidated Financial Statements December 31, 2024 and 2023

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Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures