SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Apollo Global Management, Inc. [ APO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/10/2023 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/10/2023 | A | 98,626(1) | A | $0 | 0(2) | D | |||
Common Stock | 02/10/2023 | F | 41,811(3) | D | $70.66 | 236,937(2)(4)(5) | I | By James and Leslie Belardi Family Trust | ||
Common Stock | 02/10/2023 | G | V | 1,104,966 | D | $0 | 0 | I | By Belardi 2019 GST Non-Exempt Descendants Trust | |
Common Stock | 02/10/2023 | G | V | 373,219 | D | $0 | 0 | I | By Belardi Family Irrevocable Trust | |
Common Stock | 02/10/2023 | G | V | 1,478,185 | A | $0 | 1,478,185 | I | JB Athene Investments IV, LLC | |
Common Stock | 178,481 | I | By Belardi 2020 GRAT | |||||||
Common Stock | 1,870,597 | I | JB Athene Investments, LLC | |||||||
Common Stock | 1,523,410 | I | JB Athene Investments II, LLC | |||||||
Common Stock | 640,541(3) | I | JB Athene Investments III, LLC |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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. Represents restricted stock units ("RSUs"). Each RSU represents the contingent right to receive, in accordance with the issuance schedule set forth in the applicable RSU award agreement, one share of common stock of the Issuer for each vested RSU. The RSUs vest in installments in accordance with the terms of the applicable RSU award agreement, provided the reporting person remains in service through the applicable vesting date. |
2. Reported amounts have been adjusted to reflect the transfer of 515,732 shares and of 98,626 RSUs, previously reported as directly owned by the reporting person, to the James and Leslie Belardi Family Trust, which transfers were exempt from Section 16 pursuant to Rule 16a-13 under the Exchange Act. |
3. Consists of shares withheld by the Issuer to satisfy the tax withholding obligations of the reporting person arising in connection with the delivery of shares pursuant to an equity plan administered by Apollo Global Management, Inc. |
4. Reported amounts have been adjusted to reflect the transfer of 640,541 shares, previously reported as owned by James and Leslie Belardi Family Trust, to JB Athene Investments III, LLC, which transfer was exempt from Section 16 pursuant to Rule 16a-13 under the Exchange Act. |
5. Reported amount includes 184,159 RSUs. RSUs represent the contingent right to receive shares of Apollo Global Management, Inc. pursuant to an equity plan administered by Apollo Global Management, Inc. |
/s/ Jessica L. Lomm, as Attorney-in-Fact | 02/14/2023 | |
** 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 Number. |