SEC Form 4 · accession 0000899243-15-007609
Apollo Global Management LLC · APO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc J Rowan
Officer — Senior Managing Director · Director · 10% Owner
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 6:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411494
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A SharesF2,F3 | Nov 2, 2015 | S | 285,895 | $18.6708 | D | 967,013 | I | See Footnote |
| Class A SharesF4,F3 | Nov 3, 2015 | S | 204,670 | $18.9925 | D | 762,343 | I | See Footnote |
| Class A SharesF5,F3 | Nov 4, 2015 | S | 121,954 | $18.9824 | D | 640,389 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by MJR Foundation AC LLC ("MJR Foundation AC") on August 10, 2015, as modified on August 31, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.50 to $18.86, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4) and (5) to this Form 4.
- F3By MJR Foundation AC, which is wholly owned directly and indirectly by MJR Foundation LLC. MJR Foundation AC and MJR Foundation LLC are estate planning vehicles for which voting and investment control are exercised by the reporting person.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.68 to $19.16, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.80 to $19.18, inclusive.