SEC Form 4 · accession 0001127602-19-001366
Athene Holding Ltd. · ATH-PA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grant Kvalheim
Officer — See Remarks
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 5:05 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 SharesF4 | Jan 2, 2019 | M | 2,087 | — | A | 1,589,744 | D | |
| Class A Common SharesF4 | Jan 2, 2019 | M | 1,382 | — | A | 1,591,126 | D | |
| Class A Common SharesF4 | Jan 2, 2019 | M | 1,474 | — | A | 1,592,600 | D | |
| Class A Common SharesF5 | Jan 2, 2019 | F | 1,665 | $39.83 | D | 1,590,935 | 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 UnitsF4,F1 | — | Jan 2, 2019 | M | 2,087 | D | — | — | Class A Common Shares | 2,087 | 0 | D |
| Restricted Stock UnitsF4,F2 | — | Jan 2, 2019 | M | 1,382 | D | — | — | Class A Common Shares | 1,382 | 1,383 | D |
| Restricted Stock UnitsF4,F3 | — | Jan 2, 2019 | M | 1,474 | D | — | — | Class A Common Shares | 1,474 | 2,949 | D |
Explanation of responses
- F1Each 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 12,519 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.
- F2Each 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 8,293 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.
- 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.
- F4This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis.
- F5This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the settlement of vested RSUs that settled in Class A common shares.
Remarks
Chief Executive Officer - Athene USA Corporation; 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)