0001127602-19-003077.txt : 20190130 0001127602-19-003077.hdr.sgml : 20190130 20190130164251 ACCESSION NUMBER: 0001127602-19-003077 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190129 FILED AS OF DATE: 20190130 DATE AS OF CHANGE: 20190130 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: 19552404 MAIL ADDRESS: STREET 1: C/O MRB CAPITAL, LLC STREET 2: ONE MARITIME PLAZA, SUITE 1350 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 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 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2019-01-29 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 2019-01-29 4 A 0 8323 0 A 34662 D Class C Common Stock, par value $0.01 per share 296810 I Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust Class C Common Stock, par value $0.01 per share 310500 I Matthew Reed Barger Trustee of the Matthew Reed Barger 2018 Annuity Trust Class C Common Stock, par value $0.01 per share 634692 I The Barger Revocable Trust Class A Common Units of Artisan Partners Holdings LP Class A Common Stock, par value $0.01 per share 296810 296810 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 310500 310500 I Matthew Reed Barger Trustee of the Matthew Reed Barger 2018 Annuity Trust Class A Common Units of Artisan Partners Holdings LP Class A Common Stock, par value $0.01 per share 634692 634692 I The Barger Revocable Trust 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 May 31, 2018, the Reporting Person distributed 10,300 shares of Class C Common Stock and the same number of Class A Common Units from the Matthew Reed Barger 2016 Annuity Trust (of which the Reporting Person is trustee and beneficiary) to the Barger Revocable Trust. On November 30, 2018, the Reporting Person contributed 310,500 shares of Class C Common Stock and the same number of Class A Common Units from the Barger Revocable Trust to the Matthew Reed Barger 2018 Annuity Trust of which the Reporting Person is trustee and beneficiary. 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 2019-01-29