0000899243-19-020985.txt : 20190805 0000899243-19-020985.hdr.sgml : 20190805 20190805160416 ACCESSION NUMBER: 0000899243-19-020985 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190801 FILED AS OF DATE: 20190805 DATE AS OF CHANGE: 20190805 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KLEINMAN SCOTT CENTRAL INDEX KEY: 0001272588 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35107 FILM NUMBER: 19998630 MAIL ADDRESS: STREET 1: C/O APOLLO MANAGEMENT L P STREET 2: 1301 AVENUE OF THE AMERICANS 38TH FL. CITY: NEW YORK STATE: NY ZIP: 10018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Global Management LLC 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-08-01 0 0001411494 Apollo Global Management LLC APO 0001272588 KLEINMAN SCOTT C/O APOLLO GLOBAL MANAGEMENT, LLC 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 1 0 0 Co-President Class A Shares 2019-08-01 4 M 0 182481 A 831712 D Class A Shares 2019-08-01 5 G 0 E 182481 0.00 D 649231 D Class A Shares 35157 I KRT APO Series LLC Class A Shares 56110 I KRT APO Series LLC (4/30/2015) Class A Shares 20834 I KRT APO Series 6/30/15 LLC Class A Shares 20834 I KRT APO Series 9/30/15 LLC Class A Shares 23876 I KRT APO Series 12/31/15 LLC Class A Shares 132398 I KRT APO Series LLC, 9-30-18 Series Class A Shares 136666 I KRT APO Series LLC, 6/30/13 Series Apollo Operating Group units 2019-08-01 4 M 0 182481 D Class A Shares 182481 2783805 I By AP Professional Holdings, L.P. Each Apollo Operating Group ("AOG") unit represents a right to receive one Class A share of Apollo Global Management, LLC (the "Issuer"), subject to the restrictions and provisions set forth in the reporting person's Roll-Up Agreement, dated July 13, 2007, by and among the reporting person, the Issuer, AP Professional Holdings, L.P. ("AP Prof") and the other parties thereto (the "Roll-Up Agreement") and the Fifth Amended and Restated Exchange Agreement, dated April 28, 2017, by and among the Issuer, AP Prof and the other parties thereto (the "Exchange Agreement"). Reported amount includes 649,231 restricted share units ("RSUs") granted under the Apollo Global Management, LLC 2007 Omnibus Equity Incentive 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. Pursuant to the reporting person's Roll-Up Agreement, the AOG units were fully vested as of June 30, 2013 and do not expire. Pursuant to Instruction 4(c)(iii), this response has been left blank. KRT Investments LLC and Kleinman Children's Trust are limited partners of AP Prof, the direct holder of the AOG units. The manager of KRT Investments LLC is Alan Kleinman, the reporting person's father. The sole member of KRT Investments LLC is The Kleinman Residual Trust and the trustee of The Kleinman Residual Trust is Alan Kleinman. The trustee of Kleinman Children's Trust is Alan Kleinman. The AOG units indirectly held by KRT Investments LLC and Kleinman Children's Trust are the number of AOG units that such entities have a right to receive as limited partners in AP Prof, subject to the restrictions and provisions set forth in the Roll-Up Agreement and the Exchange Agreement. By KRT APO Series LLC, a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series LLC (4/30/2015), a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series 6/30/15 LLC, a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series 9/30/15 LLC, a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series 12/31/15 LLC, a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series LLC, 9-30-18 Series, a vehicle over which the reporting person exercises voting and investment control. By KRT APO Series LLC, 6/30/13 Series, a vehicle over which the reporting person exercises voting and investment control. /s/ Scott M. Kleinman 2019-08-05