SEC Form 4 · accession 0000899243-16-035855
Athene Holding Ltd. · ATH-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manfred Puffer
Director
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 8:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527469
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common SharesF1,F2 | Dec 15, 2016 | A | 440 | $0.001 | A | 60,638 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Manfred Puffer serves as a Senior Advisor to Apollo Global Management, LLC ("Apollo"). Certain of Apollo's affiliates manage investment funds (the "Apollo Funds") that hold Class B common shares, par value $0.001, of Athene Holding Ltd. (the "Issuer"), and may be deemed to beneficially own the common shares of the Issuer held by the Apollo Funds. This report does not include any securities of the Issuer held by any of the Apollo Funds or that may be deemed to be beneficially owned by any Apollo investment managers or investment advisers affiliated with the Apollo Funds, and Mr. Puffer disclaims beneficial ownership of all such securities. This report shall not be deemed an admission that Mr. Puffer is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F2This Form 4 is being filed to report a restricted share award of 440 Class A common shares in accordance with the quarterly awards of restricted shares made to the Reporting Person under the retention letter entered into between the Issuer and the Reporting Person. Of the Class A common shares reported as being owned directly by the Reporting Person, 23,491 were originally issued pursuant to restricted share awards which vest one third on each of the first three anniversaries of the vesting start date and immediately upon a sale or change in control of the Issuer. 20,371 of such Class A common shares remain unvested as of the date of this report.
Remarks
Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Person on December 9, 2016)