SEC Form 4 · accession 0001209191-16-152342
Apollo Global Management LLC · APO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J Suydam
Officer — Chief Legal Officer
Period of report
Nov 25, 2016
Accepted (ET)
Nov 29, 2016 · 5:49 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 SharesF1,F2,F3 | Nov 25, 2016 | S | 28,607 | $20.00 | D | 796,626 | D | |
| Class A SharesF1,F3 | Nov 28, 2016 | S | 200 | $20.00 | D | 796,426 | D | |
| Class A SharesF4 | Nov 25, 2016 | S | 21,635 | $20.00 | D | 227,373 | I | Suydam 2012 Family Trust |
| Class A SharesF4 | Nov 28, 2016 | S | 200 | $20.00 | D | 227,173 | I | Suydam 2012 Family Trust |
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 the reporting person.
- F2The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.0000 to $20.0100, 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 this footnote.
- F3Reported amount includes 54,270 restricted share units ("RSUs") granted under the Apollo Global Management, LLC 2007 Omnibus Equity Incentive Plan (the "Plan"). Each RSU represents the contingent right to receive, in accordance with the issuance schedule set forth in the applicable RSU award agreement, one Class A share 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.
- F4The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by a trust for the benefit of the reporting person's spouse and children for which the reporting person's spouse is the trustee.