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Table of Contents ( Mark One ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - Q × QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30 , 2021 OR □ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Commission File Number : 001-38979 to BRIGHTSPHERE Investment Group Inc. ( Exact name of registrant as specified in its charter ) Delaware 47-1121020 ( State or other jurisdiction of incorporation or organization ) ( I.R.S. Employer Identification No. ) 200 Clarendon Street , 53rd Floor Boston , Massachusetts ( Address of principal executive offices ) ( 617 ) -369-7300 ( Registrant's telephone number , including area code ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of each class 02116 ( Zip Code ) Name of each exchange on which registered Common stock , par value $ 0.001 per share 4.800 % Notes due 2026 Ticker Symbol BSIG BSIG 26 BSA New York Stock Exchange New York Stock Exchange New York Stock Exchange 5.125 % Notes due 2031 Indicate by check mark whether the registrant : ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes ý No o Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes ý No o Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See definition of “ large accelerated filer , " " accelerated filer , ” “ smaller reporting company ” and “ emerging growth company " in Rule 12b - 2 of the Exchange Act .: Large accelerated filer Non - accelerated filer ☑ ☐ Accelerated filer Smaller reporting company Emerging growth company ☐ ☐ ☐ If an emerging growth company , indicate by check mark if the Registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . o Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes □ No ý The number of shares of the registrant's common stock , $ 0.001 per share , outstanding as of November 2 , 2021 was 79,819,128 .