SEC Form 3 · accession 0001127602-18-024873
Athene Holding Ltd. · ATH-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Travis Michael Tweed
Officer — See Remarks
Period of report
Aug 3, 2018
Accepted (ET)
Aug 7, 2018 · 6:19 pm EDT
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 Shares | holding | — | — | — | 478 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | holding | — | — | — | — | — | Class A Common Shares | 600 | — | D |
| Restricted Stock UnitsF2 | — | holding | — | — | — | — | — | Class A Common Shares | 228 | — | D |
| Restricted Stock UnitsF3 | — | holding | — | — | — | — | — | Class A Common Shares | 365 | — | D |
Explanation of responses
- F11,000 M-4 restricted stock units ("M-4 RSUs") were originally granted to Mr. Tweed, 600 of which remain unvested as of the date of this report. Each M-4 RSU represents a contingent right to receive one Class A common share of the Issuer, subject to the payment of the conversion price. The M-4 RSUs reported herein vest on each of the first five anniversaries of the October 1, 2015 vesting start date. Vested M-4 RSUs are settled in Class A common shares.
- F2342 restricted stock units ("RSUs") were originally granted to Mr. Tweed, 228 of which remain unvested as of the date of this report. Each 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 342 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. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship.
- F3Each 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, 2018 vesting start date. An additional 365 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2018 to December 31, 2020. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship.
Remarks
VP and Interim Principal Accounting Officer. Exhibit 24.1 - Power of Attorney