Current Report Filing (8-k)
10 Septembre 2021 - 10:17PM
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2021-09-07
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2021-09-07
2021-09-07
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date
of report (Date of earliest event reported): September 7, 2021
Apollo Global Management, Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-35107
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20-8880053
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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9
West 57th Street, 43rd
Floor
New
York, New
York 10019
(Address of principal
executive offices) (Zip Code)
(212)
515-3200
(Registrant’s
Telephone Number, Including Area Code)
N/A
(Former Name or
Former Address, if Changed Since Last Report)
Check the appropriate box
below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following
provisions (see General Instruction A.2. below):
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☐
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Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant
to Section 12(b) of the Act:
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Title
of each class
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Trading
Symbol(s)
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Name
of each exchange
on
which registered
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Class
A Common Stock
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APO
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New
York Stock Exchange
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6.375%
Series A Preferred Stock
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APO.PR
A
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New
York Stock Exchange
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6.375%
Series B Preferred Stock
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APO.PR
B
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New
York Stock Exchange
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Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934
(17 CFR §240.12b-2).
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. ☐
Co-Founder and Director, Josh Harris, provided
notice to Apollo Global Management, Inc. (the “Company”) that he adopted a trading plan pursuant to Rule 10b5-1(c) of the
Securities Exchange Act of 1934, as amended (the “10b5-1 Plan”) under the Seventh Amended and Restated Exchange Agreement,
dated July 29, 2020, by and among the Company, the Apollo Principal Entities defined therein and the Apollo Principal Holders defined
therein.
The 10b5-1 Plan currently contemplates sales
relating to up to approximately 1.75 million Apollo Operating Group units (the “AOG units”) that are exchangeable into shares
of Class A common stock of the Company subject to compliance with, among other things, Rule 144 under the Securities Act of 1933, as amended.
The 10b5-1 Plan was entered into by Mr. Harris for long-term financial planning and diversification purposes.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Date: September 10, 2021
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APOLLO GLOBAL MANAGEMENT, INC.
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By:
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/s/ John J. Suydam
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Name:
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John J. Suydam
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Title:
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Chief Legal Officer
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Apollo Global Management (NYSE:APO-A)
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