0001127602-17-002722.txt : 20170127
0001127602-17-002722.hdr.sgml : 20170127
20170127175109
ACCESSION NUMBER: 0001127602-17-002722
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170127
FILED AS OF DATE: 20170127
DATE AS OF CHANGE: 20170127
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Artisan Partners Asset Management Inc.
CENTRAL INDEX KEY: 0001517302
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 450969585
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 875 E. WISCONSIN AVENUE
STREET 2: SUITE 800
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
BUSINESS PHONE: 414-390-6100
MAIL ADDRESS:
STREET 1: 875 E. WISCONSIN AVENUE
STREET 2: SUITE 800
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Barger Matthew R
CENTRAL INDEX KEY: 0001390196
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35826
FILM NUMBER: 17554935
MAIL ADDRESS:
STREET 1: C/O MRB CAPITAL, LLC
STREET 2: ONE MARITIME PLAZA, SUITE 1350
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2017-01-27
0001517302
Artisan Partners Asset Management Inc.
APAM
0001390196
Barger Matthew R
C/O ARTISAN PARTNERS ASSET MANAGEMENT
875 EAST WISCONSIN AVENUE, SUITE 800
MILWAUKEE
WI
53202
1
Class A Common Stock, par value $0.01 per share
2017-01-27
4
A
0
6762
0
A
21547
D
Class C Common Stock, par value $0.01 per share
310500
I
Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust
Class C Common Stock, par value $0.01 per share
931502
D
Class A Common Units of Artisan Partners Holdings LP
Class A Common Stock, par value $0.01 per share
310500
310500
I
Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust
Class A Common Units of Artisan Partners Holdings LP
Class A Common Stock, par value $0.01 per share
931502
931502
D
On March 12, 2013, each holder of a Class A Common Unit of Artisan Partners Holdings LP received a number of shares of Class C Common Stock of Artisan Partners Asset Management Inc. (the "Company") equal to the number of Class A Common Units held by such person. Shares of Class C Common Stock do not have economic rights.
On April 30, 2016, the reporting person contributed 310,500 shares of Class C Common Stock and the same number of Class A Common Units to Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust of which the reporting person is a trustee.
Each Class A Common Unit of Artisan Partners Holdings LP became exchangeable for one share of Class A Common Stock of the Company upon effectiveness of the Fourth Amended and Restated Limited Partnership Agreement of Holdings and an Exchange Agreement among the Company and each holder of limited partnership units of Holdings (the "Exchange Agreement"), each of which became effective on the closing date of the Company's IPO. Pursuant to the Exchange Agreement, each holder of Class A Common Units will have the right, pursuant to and subject to the limitations and restrictions set forth in the Exchange Agreement, to exchange his, her or its Class A Common Units for an equal number of shares of Class A Common Stock of the Company. Upon any such exchange for Class A Common Stock, the corresponding shares of Class C Common Stock then owned by such holder will be cancelled. The Class A Common Units have no expiration date.
/s/ Lisa A. Moran, attorney-in-fact for Mr. Barger
2017-01-27
EX-24
2
doc1.txt
POWER OF ATTORNEY (PUBLIC): POWER OF ATTORNEY
POWER OF ATTORNEY
The undersigned hereby constitutes and appoints each of Sarah A. Johnson,
Samuel B. Sellers and Lisa A. Moran, signing jointly or either of them signing
individually in his or her capacity hereunder, with full power of substitution
and resubstitution, as the undersigned?s true and lawful attorneys in fact to:
(1) prepare, execute in the undersigned?s name and on the undersigned's
behalf and submit to the U.S. Securities and Exchange Commission (the "SEC")
a Form ID, including amendments thereto, and any other documents necessary or
appropriate to obtain codes and passwords enabling the undersigned to make
electronic filings with the SEC of reports required by Section 16(a) of the
Securities Exchange Act of 1934 (as amended, the "Exchange Act") or any rule
or regulation of the SEC;
(2) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer, director, member of the Stockholders Committee and/or
other stockholder of Artisan Partners Asset Management Inc. (the "Company"),
Forms 3, 4 and 5 in accordance with Section 16(a) of the Exchange Act and
the rules thereunder;
(3) do and perform any and all acts for and on behalf of the undersigned
which may be necessary, advisable or appropriate to complete and execute any
such Form 3, 4 or 5, complete and execute any amendment or amendments
thereto, and timely file such form with the SEC and any stock exchange or
similar authority; and
(4) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney in fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, or
otherwise necessary, advisable or appropriate, it being understood that the
documents executed by such attorney in fact on behalf of the undersigned
pursuant to this Power of Attorney shall be in such form and shall contain
such terms and conditions as such attorney in fact may approve in such
attorney in fact's discretion.
The undersigned hereby ratifies and confirms all acts and things
that each or both of the attorneys in fact, or such attorneys in fact's
substitute or substitutes, have done, may do or cause to be done by virtue
of this power of attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing attorneys in fact,
in serving in such capacity at the request of the undersigned, are not
assuming, nor is the Company assuming, any of the undersigned's
responsibilities to comply with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until
the undersigned is no longer required to file Forms 3, 4 and 5 with respect
to the undersigned?s holdings of and transactions in securities issued by
the Company, unless earlier revoked by the undersigned in a signed writing
delivered to the foregoing attorneys in fact.
/s/Matthew R. Barger
Matthew R. Barger
Date: 07/28/2014