FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
BRH Holdings GP, Ltd. | Apollo Global Management, Inc. [ APO ] | _____ Director | __X__ 10% Owner | |
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |
_____ Officer (give title below) | _____ Other (specify below) | |||
C/O APOLLO GLOBAL | 1/31/2020 | |||||||||||||||||||||||||||||
MANAGEMENT, INC., 9 WEST 57TH | ||||||||||||||||||||||||||||||
STREET, 43RD FLOOR | ||||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||||||||||||||||||||||||||
NEW YORK, NY 10019 | _X _ Form filed by One Reporting Person | |||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | |||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | |||||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||||||||||||||||||||||
Direct (D) | Ownership | |||||||||||||||||||||||||||||
or Indirect | (Instr. 4) | |||||||||||||||||||||||||||||
(A) or | (I) (Instr. | |||||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | |||||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||||
Derivate Security | Conversion | Date | Execution | Code | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | ||||||||||||||||||||||||||
Security | Following | Direct (D) | ||||||||||||||||||||||||||||
Amount or | ||||||||||||||||||||||||||||||
Date | Expiration | Reported | or Indirect | |||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Number of | Transaction(s) | (I) (Instr. | |||||||||||||||||||||
Shares | (Instr. 4) | 4) | ||||||||||||||||||||||||||||
Class A | By AP | |||||||||||||||||||||||||||||
Apollo Operating | J(2) | Professional | ||||||||||||||||||||||||||||
1/31/2020 | 5237500 | common | 5237500 | $0 | 174873808 | I | ||||||||||||||||||||||||
Group units | Holdings, | |||||||||||||||||||||||||||||
stock | ||||||||||||||||||||||||||||||
L.P. (4) | ||||||||||||||||||||||||||||||
Explanation of Responses:
- Each Apollo Operating Group unit represents a right to receive one share of Class A common stock ("Class A share") of Apollo Global Management, Inc. (the "Issuer"), subject to the restrictions and provisions set forth in the Sixth Amended and Restated Exchange Agreement, dated September 5, 2019, by and among the Issuer, AP Professional Holdings, L.P. ("Holdings") and the other parties thereto (the "Exchange Agreement").
- On January 31, 2020, Holdings distributed 5,237,500 Apollo Operating Group units to three of its limited partners. These Apollo Operating Group units were exchanged for Class A shares of the Issuer on a one-for-one basis pursuant to the terms and conditions of the Exchange Agreement.
- The Apollo Operating Group units do not expire.
- The reporting person is the sole general partner of Holdings, which holds 174,873,808 Apollo Operating Group units. Holdings and other parties to the Exchange Agreement may exchange the Apollo Operating Group units for Class A shares of the Issuer, subject to the restrictions and provisions set forth in the Exchange Agreement. The reporting person does not have a pecuniary interest in the Apollo Operating Group units and disclaims beneficial ownership of these securities.
Reporting Owners
Reporting Owner Name / Address | Relationships |
Director 10% Owner OfficerOther | |
BRH Holdings GP, Ltd.
C/O APOLLO GLOBAL MANAGEMENT, INC.X 9 WEST 57TH STREET, 43RD FLOOR
NEW YORK, NY 10019
Signatures | |
By: /s/ John J. Suydam, Vice President | 1/31/2020 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Apollo Global Management LLC published this content on 31 January 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 31 January 2020 22:49:02 UTC