0001127602-20-002896.txt : 20200131
0001127602-20-002896.hdr.sgml : 20200131
20200131161903
ACCESSION NUMBER: 0001127602-20-002896
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200129
FILED AS OF DATE: 20200131
DATE AS OF CHANGE: 20200131
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: 20565321
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
2020-01-29
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
2020-01-29
4
A
0
5627
0
A
7599
D
Class A Common Stock, par value $0.01 per share
32690
I
The Barger Revocable Trust
Class C Common Stock, par value $0.01 per share
259360
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
672142
I
The Barger Revocable Trust
Class A Common Units of Artisan Partners Holdings LP
Class A Common Stock, par value $0.01 per share
259360
259360
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
672142
672142
I
The Barger Revocable Trust
On May 31, 2019, the Reporting Person transferred 32,690 restricted stock units settleable only in shares of Class A Common Stock, from Matthew R. Barger to 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, 2019, the Reporting Person transferred 37,450 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.
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
2020-01-30