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MarketScreener Homepage  >  Equities  >  Nyse  >  Apollo Global Management LLC    

APOLLO GLOBAL MANAGEMENT LLC

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Apollo Global Management LLC : Form 4

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09/09/2019 | 04:32pm EDT

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

OMB APPROVAL

OMB Number: 3235-0287 Estimated average burden hours per response... 0.5

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)

BLACK LEON D

Apollo Global Management, Inc. [ APO ]

(Last)

(First)

(Middle)

3. Date of Earliest Transaction (MM/DD/YYYY)

__X__ Director

__X__ 10% Owner

__X__ Officer (give title below) _____ Other (specify below)

C/O APOLLO GLOBAL

9/5/2019

Chairman, CEO

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)

Class A common stock

9/5/2019

M

12727166

A

(1)

12727166 (2)

D

Class A common stock

9/5/2019

G

V

900000

D

$0

11827166 (2)

D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivate

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

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)

Apollo Operating

(1)

(3)

(3)

Class A

(4)

See

9/5/2019

M

12727166

common

12727166

80000000

I

Group units

footnote (5)

stock

Explanation of Responses:

  1. Following the Conversion, each Apollo Operating Group ("AOG") unit represents a right to receive one share of Class A common stock of 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, Marc Rowan and Joshua Harris (the "Agreement Among Principals"), and the Fifth Amended and Restated Exchange Agreement, dated April 28, 2017, by and among the Issuer, AP Professional Holdings, L.P. and the other parties thereto (the "Exchange Agreement"), which was further amended and restated on September 5, 2019.
  2. Following the Conversion, tax-free exchanges of AOG units under the Exchange Agreement will no longer be possible. Accordingly, the reporting person has elected to convert AOG units in connection with the Conversion. The AOG units were exchanged for shares of Class A common stock solely for purposes of charitable contributions. It is the reporting person's intent to contribute the shares to charity or a donor advised fund over time.
  3. The AOG units were fully vested as of December 31, 2011 and do not expire.
  4. Pursuant to Instruction 4(c)(iii), this response has been left blank.
  5. By AP Professional Holdings, L.P. The reporting person is an indirect limited partner, through Black Family Partners, L.P., an estate planning vehicle for which the reporting person exercises voting and investment control, in BRH Holdings, L.P. ("BRH"), which holds approximately 90.5% 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, subject to the restrictions and provisions set forth in the Agreement Among Principals and the Exchange Agreement.

Remarks:

On September 5, 2019, Apollo Global Management, LLC, a Delaware limited liability company, converted (the "Conversion") into a Delaware corporation named Apollo Global Management, Inc. (the "Issuer"). As a result of the Conversion, each Class A share of Apollo Global Management, LLC was converted into a share of Class A common stock of the Issuer.

Reporting Owners

Reporting Owner Name / Address

Relationships

Director

10% Owner

Officer

Other

BLACK LEON D

C/O APOLLO GLOBAL MANAGEMENT, INC.

X

X

Chairman, CEO

9 WEST 57TH STREET, 43RD FLOOR

NEW YORK, NY 10019

Signatures

/s/ Leon D. Black

9/9/2019

**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).
    Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

Disclaimer

Apollo Global Management LLC published this content on 09 September 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 09 September 2019 20:31:08 UTC

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Managers
NameTitle
Leon David Black Chairman & Chief Executive Officer
Scott Martin Kleinman Co-President
James Charles Zelter Co-President & Chief Investment Officer-Credit
Martin Kelly Co-Chief Operating Officer & CFO
Anthony M. Civale Co-Chief Operating Officer
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