Filing Details
- Accession Number:
- 0001209191-14-033908
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-14 21:00:28
- Reporting Period:
- 2014-05-12
- Filing Date:
- 2014-05-14
- Accepted Time:
- 2014-05-14 21:00:28
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1411494 | Apollo Global Management Llc | APO | Investment Advice (6282) | 208880053 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1032681 | J Marc Rowan | C/O Apollo Global Management, Inc. 9 West 57Th Street, 43Rd Floor New York NY 10019 | Senior Managing Director | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Shares | Acquisiton | 2014-05-12 | 2,925,620 | $0.00 | 2,925,620 | No | 4 | M | Indirect | See Footnote |
Class A Shares | Disposition | 2014-05-12 | 487,040 | $25.43 | 2,438,580 | No | 4 | S | Indirect | See Footnote |
Class A Shares | Disposition | 2014-05-12 | 100 | $25.92 | 2,438,480 | No | 4 | S | Indirect | See Footnote |
Class A Shares | Disposition | 2014-05-12 | 1 | $26.05 | 2,438,479 | No | 4 | S | Indirect | See Footnote |
Class A Shares | Disposition | 2014-05-13 | 307,676 | $25.58 | 2,130,803 | No | 4 | S | Indirect | See Footnote |
Class A Shares | Disposition | 2014-05-14 | 322,932 | $25.71 | 1,807,871 | No | 4 | S | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Shares | Apollo Operating Group units | Disposition | 2014-05-12 | 2,925,620 | $0.00 | 2,925,620 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | M | Indirect |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Shares | Apollo Operating Group units | $0.00 | 0 | 51,657,022 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
0 | 51,657,022 | Indirect |
Footnotes
- Each Apollo Operating Group ("AOG") unit represents a right to receive one Class A share of Apollo Global Management, LLC (the "Issuer"), subject to the restrictions and provisions set forth in the Agreement Among Principals, dated July 13, 2007, by and among the reporting person, Leon Black and Joshua Harris (the "Agreement Among Principals"), and the Second Amended and Restated Exchange Agreement, dated March 5, 2014, by and among the Issuer, AP Professional Holdings, L.P. and the other parties thereto (the "Exchange Agreement").
- By MJR Foundation LLC ("MJR Foundation"), an estate planning vehicle for which voting and investment control are exercised by the reporting person.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by MJR Foundation AC LLC ("MJR Foundation AC") on March 5, 2014, and pursuant to an effective registration statement under the Securities Act of 1933.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.92 to $25.88, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (4), (6) and (7) to this Form 4.
- By MJR Foundation AC, which is wholly owned directly and indirectly by MJR Foundation. MJR Foundation AC is an estate planning vehicle for which voting and investment control are exercised by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.35 to $25.74, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.40 to $25.80, inclusive.
- The AOG units were fully vested as of December 31, 2011 and do not expire.
- Pursuant to Instruction 4(c)(iii), this response has been left blank.
- By AP Professional Holdings, L.P. The reporting person is an indirect limited partner in BRH Holdings, L.P., which holds 88.62% of the limited partnership interests in AP Professional Holdings, L.P., the direct holder of the AOG units. The AOG units indirectly held by the reporting person are the number of AOG units that he has a right to receive as an indirect limited partner in BRH Holdings, L.P., subject to the restrictions and provisions set forth in the Agreement Among Principals and the Exchange Agreement.