Statement of Changes in Beneficial Ownership (4)
20 Mai 2023 - 12:32AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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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
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HARRIS JOSHUA |
2. Issuer Name and Ticker or Trading Symbol
Apollo Global Management, Inc.
[
APO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
404 WASHINGTON AVE, PH 810 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/17/2023 |
(Street)
MIAMI, FL 33139 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/17/2023 | | S | | 141630 (1) | D | $63.75 (1)(4) | 34845567 | I | See Footnote (5) |
Common Stock | 5/18/2023 | | S | | 40689 (2) | D | $63.78 (2)(4) | 34804878 | I | See Footnote (5) |
Common Stock | 5/19/2023 | | S | | 5487 (3) | D | $64.04 (3)(4) | 34799391 | I | See Footnote (5) |
Common Stock | | | | | | | | 1350007 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Reflects the sale of shares of common stock of the Issuer, par value $0.00001 per share ("Common Stock"), by MJH Partners II LLC ("MJHP II") on May 17, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $63.50 to $64.18. |
(2) | Reflects the sale of shares of Common Stock by MJHP II on May 18, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $63.75 to $63.89. |
(3) | Reflects the sale of shares of Common Stock by MJHP II on May 19, 2023. The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $64.00 to $64.20. |
(4) | The Reporting Persons undertake to provide to the Issuer, any security holders of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the applicable price range. |
(5) | Reflects shares held by MJHP II, an estate planning vehicle for which voting and investment control are exercised by Joshua Harris. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein. |
Remarks: Each of the Reporting Persons may be deemed to be a member of a "group" for the purposes of the Securities Exchange Act of 1934 by virtue of being a party to the Apollo Global Management, Inc. Stockholders Agreement. The Reporting Persons disclaim beneficial ownership of any securities deemed to be owned by the group that are not directly owned by the applicable Reporting Person. This report shall not be deemed an admission that the Reporting Persons are a member of a group or the beneficial owner of any securities not directly owned by the applicable Reporting Person. Each of the Reporting Persons disclaims beneficial ownership of the securities except to the extent of his or its pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HARRIS JOSHUA 404 WASHINGTON AVE PH 810 MIAMI, FL 33139 |
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| See Remarks |
MJH Partners II LLC 404 WASHINGTON AVE PH 810 MIAMI, FL 33139 |
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| See Remarks |
Signatures
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By: Joshua Harris, By: /s/ Frank Marra, attorney-in-fact | | 5/19/2023 |
**Signature of Reporting Person | Date |
By: MJH Partners II LLC, By: /s/ Frank Marra, Authorized Signatory | | 5/19/2023 |
**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. |
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