0001127602-21-002750.txt : 20210127
0001127602-21-002750.hdr.sgml : 20210127
20210127180420
ACCESSION NUMBER: 0001127602-21-002750
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210126
FILED AS OF DATE: 20210127
DATE AS OF CHANGE: 20210127
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: 21561257
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
2021-01-26
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
2021-01-26
4
A
0
4109
0
A
6109
D
Class A Common Stock, par value $0.01 per share
38289
I
The Barger Revocable 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
310500
I
Matthew Reed Barger Trustee of the Matthew Reed Barger 2020 Annuity Trust
Class C Common Stock, par value $0.01 per share
621002
I
The Barger Revocable 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
310500
310500
I
Matthew Reed Barger Trustee of the Matthew Reed Barger 2020 Annuity Trust
Class A Common Units of Artisan Partners Holdings LP
Class A Common Stock, par value $0.01 per share
621002
621002
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 September 14, 2020, 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 2020 Annuity Trust of which the Reporting Person is trustee and beneficiary.
The Reporting Person transferred 76,400 and 182,960 shares respectively 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 June 1, 2020 and July 31, 2020, respectively.
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
2021-01-27