Roderick G.H. Ellis

Insider

First SEC filing: May 2, 2011 · Latest: May 2, 2011

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

IVZ selling Sept. 3, 2014

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 28 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

28 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Feb. 28, 2017	IVZ	F	4,035	$32.19	$129,887	84,064 Direct	-4.58%	Disposed	0.0% (price as of 2026-08-21)
Feb. 28, 2017	IVZ	A	11,960	—	—	88,099 Direct	+15.71%	Acquired	(price as of 2026-08-21)
Feb. 28, 2016	IVZ	F	5,435	$27.10	$147,288	76,139 Direct	-6.66%	Disposed	18.8% (price as of 2026-08-21)
Feb. 28, 2016	IVZ	A	14,206	—	—	81,574 Direct	+21.09%	Acquired	(price as of 2026-08-21)
Feb. 28, 2015	IVZ	F	4,531	$40.27	$182,463	67,368 Direct	-6.30%	Disposed	-20.1% (price as of 2026-08-21)
Feb. 28, 2015	IVZ	A	9,560	—	—	71,899 Direct	+15.34%	Acquired	(price as of 2026-08-21)
Sept. 3, 2014	IVZ	S	25,000	$40.70	$1,017,500	62,339 Direct	-28.62%	Disposed	-20.9% (price as of 2026-08-21)
Aug. 12, 2014	IVZ	X	19,288	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Aug. 12, 2014	IVZ	S	19,288	$38.53	$743,167	86,363 Direct	-18.26%	Disposed	-16.5% (price as of 2026-08-21)
Aug. 12, 2014	IVZ	X	19,288	—	—	105,651 Direct	+22.33%	Acquired	(price as of 2026-08-21)
June 5, 2014	IVZ	X	20,000	—	—	19,288 Direct	-50.91%	Disposed	(price as of 2026-08-21)
June 5, 2014	IVZ	S	20,000	$37.68	$753,600	86,363 Direct	-18.80%	Disposed	-14.6% (price as of 2026-08-21)
June 5, 2014	IVZ	X	20,000	—	—	106,363 Direct	+23.16%	Acquired	(price as of 2026-08-21)
Feb. 28, 2014	IVZ	M	10,787	—	—	86,363 Direct	+14.27%	Acquired	(price as of 2026-08-21)
Feb. 28, 2014	IVZ	F	1,169	$34.30	$40,097	75,576 Direct	-1.52%	Disposed	-6.2% (price as of 2026-08-21)
Feb. 28, 2014	IVZ	F	1,236	$34.30	$42,395	76,745 Direct	-1.59%	Disposed	-6.2% (price as of 2026-08-21)
Feb. 28, 2014	IVZ	F	1,243	$34.30	$42,635	77,981 Direct	-1.57%	Disposed	-6.2% (price as of 2026-08-21)
Feb. 26, 2014	IVZ	F	2,627	$33.11	$86,980	79,224 Direct	-3.21%	Disposed	-2.8% (price as of 2026-08-21)
May 10, 2013	IVZ	X	12,500	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
May 10, 2013	IVZ	S	12,500	$33.75	$421,875	81,851 Direct	-13.25%	Disposed	-4.6% (price as of 2026-08-21)
May 10, 2013	IVZ	X	12,500	—	—	94,351 Direct	+15.27%	Acquired	(price as of 2026-08-21)
Feb. 28, 2013	IVZ	A	13,811	—	—	81,851 Direct	+20.30%	Acquired	(price as of 2026-08-21)
Feb. 28, 2013	IVZ	F	1,236	$26.79	$33,112	68,040 Direct	-1.78%	Disposed	20.2% (price as of 2026-08-21)
Feb. 28, 2013	IVZ	F	1,243	$26.79	$33,300	69,276 Direct	-1.76%	Disposed	20.2% (price as of 2026-08-21)
Feb. 27, 2013	IVZ	F	1,160	$26.44	$30,670	70,519 Direct	-1.62%	Disposed	21.7% (price as of 2026-08-21)
Feb. 26, 2013	IVZ	F	2,627	$25.64	$67,356	71,679 Direct	-3.54%	Disposed	25.5% (price as of 2026-08-21)
Dec. 11, 2012	IVZ	S	10,000	$24.97	$249,700	74,306 Direct	-11.86%	Disposed	28.9% (price as of 2026-08-21)
Nov. 30, 2012	IVZ	X	10,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Nov. 30, 2012	IVZ	S	10,000	$25.00	$250,000	84,306 Direct	-10.60%	Disposed	28.8% (price as of 2026-08-21)
Nov. 30, 2012	IVZ	X	10,000	—	—	94,306 Direct	+11.86%	Acquired	(price as of 2026-08-21)
Feb. 28, 2012	IVZ	F	1,209	$24.96	$30,177	84,306 Direct	-1.41%	Disposed	29.0% (price as of 2026-08-21)
Feb. 28, 2012	IVZ	A	14,823	—	—	85,515 Direct	+20.97%	Acquired	(price as of 2026-08-21)
Feb. 27, 2012	IVZ	F	1,129	$24.77	$27,965	70,692 Direct	-1.57%	Disposed	30.0% (price as of 2026-08-21)
Feb. 26, 2012	IVZ	F	2,556	$24.88	$63,593	71,821 Direct	-3.44%	Disposed	29.4% (price as of 2026-08-21)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Aug. 12, 2014	IVZ	Employee Stock Option (right to buy)	Common Shares (19,288)	—	Dec. 29, 2015	19,288	Disposed
June 5, 2014	IVZ	Employee Stock Option (right to buy)	Common Shares (20,000)	—	Dec. 29, 2015	20,000	Disposed
May 10, 2013	IVZ	Employee Stock Option (right to buy)	Common Shares (12,500)	—	Dec. 30, 2014	12,500	Disposed
Nov. 30, 2012	IVZ	Employee Stock Option (right to buy)	Common Shares (10,000)	—	Dec. 15, 2013	10,000	Disposed

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 6 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
May 2, 2011	IVZ	Common Shares	74,377	Direct
May 2, 2011	IVZ	Common Shares	2,736	Indirect
May 2, 2011	IVZ	Employee Stock Option (right to buy)→ Common Shares (39,288)	39,288	Direct
May 2, 2011	IVZ	Employee Stock Option (right to buy)→ Common Shares (12,500)	12,500	Direct
May 2, 2011	IVZ	Employee Stock Option (right to buy)→ Common Shares (10,000)	10,000	Direct
May 2, 2011	IVZ	Employee Stock Option (right to buy)→ Common Shares (10,000)	10,000	Direct