Statement of Changes in Beneficial Ownership (4)
12 Mai 2022 - 10:31PM
Edgar (US Regulatory)
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FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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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 * KLEINMAN SCOTT |
2. Issuer Name and Ticker or Trading
Symbol Apollo Global Management, Inc. [ APO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)__X__
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
Co-President (See Remarks) |
|
(Last)
(First)
(Middle)
C/O APOLLO GLOBAL MANAGEMENT, INC., 9 WEST 57TH STREET,
43RD FLOOR |
3. Date of Earliest Transaction (MM/DD/YYYY)
5/10/2022
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(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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
|
Code |
V |
Amount |
(A) or (D) |
Price |
|
Common Stock |
5/10/2022 |
|
J |
|
243000 |
D |
$50.48 |
27408 (1) |
I |
HCM APO Series LLC, Series B (2) |
|
Common Stock |
5/10/2022 |
|
J |
|
230048 |
D |
$50.48 |
142987 (1) |
I |
HCM APO Series LLC, Series C (3) |
|
Common Stock |
5/10/2022 |
|
J |
|
473048 |
A |
$50.48 |
702496 (1) |
I |
The Kleinman Children's Trust (4) |
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Common Stock |
|
|
|
|
|
|
|
9391 |
I |
KRT Investments LLC (5) |
|
Common Stock |
|
|
|
|
|
|
|
4584 |
I |
KRT Investments VII LLC (6) |
|
Common Stock |
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|
|
|
|
|
|
1806086 |
I |
KRT Delaware LLC (7) |
|
Common Stock |
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|
|
|
|
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|
77335 |
I |
The Kleinman Descendant's GST-Exempt
Trust (8) |
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Common Stock |
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|
|
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629289 |
I |
HCM APO Series LLC, Series A (9) |
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Common Stock |
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410811 |
I |
KRT Investments IX LLC (10) |
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Common Stock |
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|
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4879587 (11) |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
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) |
On May 10, 2022, the
reporting person transferred 243,000 shares of common stock of the
Issuer from HCM APO Series LLC, Series B and 230,048 shares of
common stock of the Issuer from HCM APO Series LLC, Series C to The
Kleinman Children's Trust in exchange for assets of equivalent
aggregate value. |
| (2) |
Held by HCM APO Series LLC,
Series B, a vehicle directly and indirectly wholly owned by the
reporting person over which the reporting person exercises voting
and investment control. |
| (3) |
Held by HCM APO Series LLC,
Series C, a vehicle directly and indirectly wholly owned by the
reporting person over which the reporting person exercises voting
and investment control. |
| (4) |
Held by The Kleinman
Children's Trust, a vehicle directly and indirectly wholly owned by
the reporting person over which the reporting person exercises
voting and investment control. |
| (5) |
Held by KRT Investments LLC.
The reporting person disclaims beneficial ownership of the
securities indirectly or directly held by KRT Investments LLC
reported herein and this report shall not be deemed to be an
admission that the reporting person is the beneficial owner of such
securities for purposes of Section 16 of the Securities Exchange
Act of 1934, as amended, or for any other purpose. |
| (6) |
Held by KRT Investments VII
LLC, a vehicle directly and indirectly wholly owned by the
reporting person over which the reporting person exercises voting
and investment control. |
| (7) |
Held by KRT Delaware LLC, a
vehicle directly and indirectly wholly owned by the reporting
person over which the reporting person exercises voting and
investment control. |
| (8) |
Held by The Kleinman
Descendant's GST-Exempt Trust, a vehicle directly and indirectly
wholly owned by the reporting person over which the reporting
person exercises voting and investment control. |
| (9) |
Held by HCM APO Series LLC,
Series A, a vehicle directly and indirectly wholly owned by the
reporting person over which the reporting person exercises voting
and investment control. |
| (10) |
Held by KRT Investments IX
LLC ("Investments IX"). Investments IX is owned by the reporting
person and a trust for the benefit of the reporting person's
descendants and for which the reporting person's father acts as
trustee. The reporting person disclaims beneficial ownership of the
securities held by Investments IX, except to the extent of his
direct or indirect pecuniary interest. |
| (11) |
Reported amount includes
4,814,654 vested and unvested restricted stock units ("RSUs")
granted under 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 share
of common stock of the Issuer 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. |
Remarks:
Co-President of Apollo Asset Management, Inc. |
Reporting
Owners
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|
Reporting Owner Name / Address |
Relationships
|
|
Director |
10% Owner |
Officer |
Other |
KLEINMAN SCOTT
C/O APOLLO GLOBAL MANAGEMENT, INC.
9 WEST 57TH STREET, 43RD FLOOR
NEW YORK, NY 10019 |
X |
|
Co-President (See Remarks) |
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Signatures
|
|
/s/ Jessica L. Lomm, as
Attorney-in-Fact |
|
5/12/2022 |
| **Signature of Reporting
Person |
Date |
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Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
| * |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
| ** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
|
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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