SEC Form 4 · accession 0001127602-17-012854
Athene Holding Ltd. · ATH-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Lauren Gillis
Officer — See Remarks
Period of report
Mar 21, 2017
Accepted (ET)
Mar 23, 2017 · 9:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001527469
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $51.25 | Mar 21, 2017 | A | 15,907 | A | — | Mar 21, 2027 | Class A Common Shares | 15,907 | 15,907 | D |
| Restricted Stock UnitsF2 | — | Mar 21, 2017 | A | 2,927 | A | — | — | Class A Common Shares | 2,927 | 2,927 | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Class A Common Shares | 2,946 | 2,946 | D |
Explanation of responses
- F1This option vests ratably on each of the first three anniversaries of the January 1, 2017 vesting start date.
- F2Each restricted stock unit ("RSU") represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2017 vesting start date. An additional 5,854 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2017 to December 31, 2019. Vested RSUs are settled in Class A common shares on a one-for-one basis.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one Class A common share of the Issuer. The RSUs reported herein vest on each of the first three anniversaries of the January 1, 2016 vesting start date. An additional 8,837 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2016 to December 31, 2018. Vested RSUs are settled in Class A common shares on a one-for-one basis.
Remarks
EVP - ATH and Chief Executive Officer - ALRe Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 9, 2016)