Statement of Changes in Beneficial Ownership (4)
February 19 2021 - 5:11PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Zelter James C |
2. Issuer Name and Ticker or Trading Symbol
Apollo Global Management, Inc.
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APO
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Co-President |
(Last)
(First)
(Middle)
C/O APOLLO GLOBAL MANAGEMENT, INC., 9 WEST 57TH STREET, 43RD FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/17/2021 |
(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common Stock | 2/17/2021 | | F | | 35 (1) | D | $51.52 | 1956750 (2) | D | |
Class A Common Stock | 2/17/2021 | | S | | 500 (3) | D | $52.00 | 1956250 (2) | D | |
Class A Common Stock | 2/17/2021 | | A | | 20131 (4) | A | $0.00 | 1976381 (5) | D | |
Class A Common Stock | | | | | | | | 414967 | I | Zelter APO Series LLC (6) |
Class A Common Stock | | | | | | | | 54774 | I | Zelter APO Series LLC 3/31/14 (7) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Consists of shares of Class A common stock of the Issuer (the "Class A shares") withheld by the Issuer in order to satisfy the minimum tax withholding obligations of the reporting person arising in connection with the delivery of Class A shares underlying vested restricted stock units ("RSUs") that were granted under the Apollo Global Management, Inc. 2019 Omnibus Equity Incentive Plan (the "Plan"). Each RSU represents the contingent right to receive, in accordance with the issuance schedule set forth in the applicable RSU award agreement, one Class A share for each vested RSU. The RSUs vest in installments in accordance with the terms of the applicable RSU award agreement, provided the reporting person remains in service through the applicable vesting date. |
(2) | Reported amount includes 1,008,988 RSUs granted under the Plan. |
(3) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan that was initially adopted by the reporting person on September 1, 2020. |
(4) | Represents RSUs granted under the Plan. |
(5) | Reported amount includes 1,029,119 RSUs granted under the Plan. |
(6) | By Zelter APO Series LLC, a vehicle over which the reporting person exercises voting and investment control. |
(7) | By Zelter APO Series LLC, 3/31/14 Series, a vehicle over which the reporting person exercises voting and investment control. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Zelter James C C/O APOLLO GLOBAL MANAGEMENT, INC. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK, NY 10019 |
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| Co-President |
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Signatures
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/s/ Jessica L. Lomm, as Attorney-in-Fact | | 2/19/2021 |
**Signature of Reporting Person | Date |
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