SEC Form 5 · accession 0000905148-17-000266
Athene Holding Ltd. · ATH-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Richard Belardi
Officer — Chairman, CEO and CIO · Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 10, 2017 · 4:26 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 | Dec 31, 2016 | G | 1,750 | $0.00 | D | 915,246 | I | By James and Leslie Belardi Family Trust |
| Class A Common SharesF2 | Dec 31, 2016 | G | 1,750 | $0.00 | A | 1,750 | I | By Belardi Family Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Of these Class A common shares, 117,221 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. 30,972 of such Class A common shares remain unvested as of December 31, 2016.
- F2Mr. Belardi does not serve as trustee of the Belardi Family Irrevocable Trust and disclaims beneficial ownership of the Class A common shares reported as indirectly owned through the Belardi Family Irrevocable Trust, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Belardi is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.