0000950142-21-003066.txt : 20211005 0000950142-21-003066.hdr.sgml : 20211005 20211005204825 ACCESSION NUMBER: 0000950142-21-003066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211001 FILED AS OF DATE: 20211005 DATE AS OF CHANGE: 20211005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARRIS JOSHUA CENTRAL INDEX KEY: 0001106636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35107 FILM NUMBER: 211308531 MAIL ADDRESS: STREET 1: 600 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10012 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Global Management, Inc. CENTRAL INDEX KEY: 0001411494 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 208880053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9 West 57th Str CITY: new York STATE: ny ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 West 57th Str CITY: new York STATE: ny ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: Apollo Global Management LLC DATE OF NAME CHANGE: 20070904 4 1 es210189064_4-jhapo.xml OWNERSHIP DOCUMENT X0306 4 2021-10-01 0 0001411494 Apollo Global Management, Inc. APO 0001106636 HARRIS JOSHUA C/O APOLLO GLOBAL MANAGEMENT, INC. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 1 0 1 0 Class A Common Stock 2021-10-01 4 M 0 96573 0 A 96573 I See footnote Class A Common Stock 2021-10-01 4 S 0 95273 61.5785 D 1300 I See footnote Class A Common Stock 2021-10-01 4 S 0 1300 62.0962 D 0 I See footnote Class A Common Stock 2021-10-04 4 M 0 48912 0 A 48912 I See footnote Class A Common Stock 2021-10-04 4 S 0 35318 60.2541 D 13594 I See footnote Class A Common Stock 2021-10-04 4 S 0 13079 61.5764 D 515 I See footnote Class A Common Stock 2021-10-05 4 S 0 515 62.1456 D 0 I See footnote Class A Common Stock 2021-10-05 4 M 0 74464 0 A 74464 I See footnote Class A Common Stock 2021-10-05 4 S 0 41179 60.6387 D 33285 I See footnote Class A Common Stock 2021-10-05 4 S 0 33285 61.5210 D 0 I See footnote Class A Common Stock 1350000 D Class A Common Stock 1800000 I See footnote Apollo Operating Group unit 2021-10-01 4 M 0 96573 D Class A Common Stock 96573 0 I See footnote Apollo Operating Group unit 2021-10-04 4 M 0 48912 D Class A Common Stock 48912 0 I See footnote Apollo Operating Group unit 2021-10-05 4 M 0 74464 D Class A Common Stock 74464 0 I See footnote Apollo Operating Group unit Class A Common Stock 35491055 I See footnote Each Apollo Operating Group ("AOG") unit represents a right to receive one Class A share of Apollo Global Management, Inc. (the "Issuer"), subject to the restrictions and provisions set forth in the Agreement Among Principals, dated July 13, 2007, by and among the reporting person, Leon Black and Marc Rowan (the "Agreement Among Principals"), and the Seventh Amended and Restated Exchange Agreement, dated July 29, 2020, by and among the Issuer, AP Professional Holdings, L.P. and the other parties thereto (the "Exchange Agreement"). By MJH Partners Holdings, LLC, an estate planning vehicle for which voting and investment control are exercised by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.9700 to $61.9600, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.0500 to $62.2000, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.0000 to $60.9600 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.0700 to $62.0400, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.0800 to $62.2600, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.0400 to $61.0300, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.0600 to $61.8400, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. By MJH Partners Holdings II LLC, an estate planning vehicle for which voting and investment control are exercised by the reporting person. The AOG units were fully vested as of December 31, 2011 and do not expire. Pursuant to Instruction 4(c)(iii), this response has been left blank. By AP Professional Holdings, L.P. The reporting person is an indirect limited partner in BRH Holdings, L.P., which holds approximately 91% of the limited partnership interests in AP Professional Holdings, L.P., the direct holder of the AOG units. The AOG units indirectly held by the reporting person are the number of AOG units that he has a right to receive as an indirect limited partner in BRH Holdings, L.P., subject to the restrictions and provisions set forth in the Agreement Among Principals and the Exchange Agreement. /s/ Joel Karansky, attorney-in-fact 2021-10-05