0001104659-18-015615.txt : 20180307 0001104659-18-015615.hdr.sgml : 20180307 20180307181458 ACCESSION NUMBER: 0001104659-18-015615 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20180305 FILED AS OF DATE: 20180307 DATE AS OF CHANGE: 20180307 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo International Management, L.P. CENTRAL INDEX KEY: 0001512636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674458 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management Holdings GP, LLC CENTRAL INDEX KEY: 0001449433 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674454 BUSINESS ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management Holdings, L.P. CENTRAL INDEX KEY: 0001449434 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674453 BUSINESS ADDRESS: STREET 1: 9 W. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 W. 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Life Asset Ltd. CENTRAL INDEX KEY: 0001527502 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674456 BUSINESS ADDRESS: STREET 1: C/O WALKER CORPORATE SERVICES LIMITED STREET 2: WALKER HOUSE, 87 MARY STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 BUSINESS PHONE: 345-949-0100 MAIL ADDRESS: STREET 1: C/O WALKER CORPORATE SERVICES LIMITED STREET 2: WALKER HOUSE, 87 MARY STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Principal Holdings III, L.P. CENTRAL INDEX KEY: 0001566433 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674455 BUSINESS ADDRESS: STREET 1: C/O INTERTRUST CORPORATE SERVICES STREET 2: (CAYMAN) LIMITED, 190 ELGIN STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: C/O INTERTRUST CORPORATE SERVICES STREET 2: (CAYMAN) LIMITED, 190 ELGIN STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Principal Holdings III GP Ltd CENTRAL INDEX KEY: 0001566491 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674457 BUSINESS ADDRESS: STREET 1: C/O INTERTRUST CORPORATE SERVICES STREET 2: (CAYMAN) LIMITED, 190 ELGIN STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: C/O INTERTRUST CORPORATE SERVICES STREET 2: (CAYMAN) LIMITED, 190 ELGIN STREET CITY: GEORGE TOWN STATE: E9 ZIP: KY1-9005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Capital Management GP, LLC CENTRAL INDEX KEY: 0001456419 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674452 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212 515 3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Capital Management, L.P. CENTRAL INDEX KEY: 0001456421 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674461 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212 515 3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo International Management GP, LLC CENTRAL INDEX KEY: 0001512580 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674459 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Alternative Assets, L.P. CENTRAL INDEX KEY: 0001473543 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 18674460 BUSINESS ADDRESS: STREET 1: 87 MARY STREET, GEORGE TOWN CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-9005 BUSINESS PHONE: 212-822-0456 MAIL ADDRESS: STREET 1: 87 MARY STREET, GEORGE TOWN CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-9005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 980628973 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 BUSINESS PHONE: 441-279-8400 MAIL ADDRESS: STREET 1: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 4 1 a4.xml 4 X0306 4 2018-03-05 0 0001527469 Athene Holding Ltd ATH 0001449433 Apollo Management Holdings GP, LLC 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001449434 Apollo Management Holdings, L.P. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001456419 Apollo Capital Management GP, LLC 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001456421 Apollo Capital Management, L.P. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001473543 Apollo Alternative Assets, L.P. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001512580 Apollo International Management GP, LLC 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001512636 Apollo International Management, L.P. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001566491 Apollo Principal Holdings III GP Ltd 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001527502 Apollo Life Asset Ltd. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 0001566433 Apollo Principal Holdings III, L.P. 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 0 1 0 Class A Common Shares 2018-03-05 4 J 0 22021831 0.00 D 20611339 I See footnote See Exhibit 99.1 See Exhibit 99.2 [see signatures attached as Exhibit 99.2] 2018-03-07 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

1.             On March 5, 2018, AAA Guarantor-Athene L.P. (“AAA Guarantor”) distributed 26,025,200 Class B common shares to its limited partner, AAA Investments, L.P. (AAA Investments”), which in turn distributed 22,507,327 Class B common shares to its limited partner, AP Alternative Assets, L.P. (“AP Alternative Assets”) and 3,517,873 Class B common shares to its general partner, AAA Associates, L.P. (“AAA Associates”) in respect of its carried interest and general partnership interest.  AP Alternative Assets in turn distributed these 22,507,327 Class B common shares to its unitholders, including 40,544 Class B common shares to Apollo Principal Holdings III, L.P. and 444,952 Class B common shares to AAA Holdings, L.P.  Except for the Class B common shares that were distributed to AAA Associates, Apollo Principal Holdings III, L.P., AAA Holdings, L.P. and certain other unitholders associated with the reporting persons, all Class B common shares distributed by AP Alternative Assets automatically became Class A common shares upon such distribution.

 

2.             The Class A Shares of the Issuer reported as beneficially owned following the reported transaction are obtainable upon conversion at the election of the holder on a one-for-one basis of the Class B common shares of the Issuer. The shares reported as beneficially owned following the reported transaction are held of record by (i) Apollo Principal Holdings III, L.P. (“Principal Holdings III”), (ii) Apollo Palmetto Advisors, L.P. (“Palmetto Advisors”), (iii) Athene Asset Management, L.P. (“Athene Management”), (iv) AAA Guarantor, (v) AAA Associates, and (vi) AAA Holdings, L.P. (“AAA Holdings,” and, together with Principal Holdings III, Palmetto Advisors, Athene Management, AAA Guarantor and AAA Associates, the “Record Holders”).  The number of shares reported as beneficially owned does not include 132,130 Class B common shares that have been granted to employees of certain of the reporting persons but are held by Apollo Management Holdings, L.P. (“Management Holdings”) as custodian.

 

Apollo Principal Holdings III GP, Ltd. (“Principal Holdings III GP”) is the general partner of Principal Holdings III.

 

Apollo Palmetto Management, LLC (“Palmetto Management”) is the general partner of Palmetto Advisors. Apollo Principal Holdings IV, L.P. (“Principal Holdings IV”) is the sole member of Palmetto Management. Apollo Principal Holdings IV GP, Ltd. (“Principal Holdings IV GP”) is the general partner of Principal Holdings IV. The general partner of Athene Management is AAM GP Ltd. (“AAM GP”). The sole shareholder of AAM GP is Apollo Life Asset Ltd. (“Apollo Life”). Apollo Capital Management, L.P. (“Capital Management”) is the sole shareholder of Apollo Life. The general partner of Capital Management is Apollo Capital Management GP, LLC (“Capital Management GP”).

 

AAA Investments is the sole limited partner of the AAA Guarantor. AAA Associates is the general partner of AAA Investments. AAA MIP Limited (“AAA MIP”) is the general partner of AAA Associates. Apollo Alternative Assets, L.P. (“AAA”) provides investment services to AAA Guarantor, AAA Investments, AAA Associates and AAA MIP. Apollo International Management, L.P. (“Int’l Management”) is the managing general partner of AAA. Apollo International Management GP, LLC (Int’l Management GP”) is the general partner of Int’l Management. AAA Holdings GP Limited (“AAA Holdings GP”) is the general partner of AAA Holdings.

 

Management Holdings is the sole member and manager of Int’l Management GP and Capital Management GP and the sole shareholder of AAA Holdings GP. Apollo Management Holdings GP, LLC (“Management Holdings GP”) is the general partner of Management Holdings.  Leon Black, Joshua Harris and Marc Rowan are executive officers and the managers or directors of Management Holdings GP, Principal Holdings III GP and Principal Holdings IV GP.

 

Each of the Record Holders, Principal Holdings III GP, Palmetto Management, Principal Holdings IV, Principal Holdings IV GP, AAM GP, Apollo Life, Capital Management, Capital Management GP, AAA Investments, AAA MIP, AAA, Int’l Management, Int’l Management GP, AAA Holdings GP, Management Holdings, Management Holdings GP, and Messrs. Black, Harris and Rowan, disclaims beneficial ownership of the common shares of the Issuer included in this report, except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that any such person or entity is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

The address of each of Principal Holdings III, Principal Holdings III GP, Principal Holdings IV, Principal Holdings IV GP, AAM GP, Apollo Life and AAA is c/o Walkers Corporate Limited, Cayman Corporate Center, 27 Hospital

 


 

Road,, George Town, KY1-9008, Grand Cayman, Cayman Islands.  The address of Palmetto Management, and AAA Investments is One Manhattanville Road, Suite 201, Purchase, New York 10577.  The address for AAA Associates, AAA MIP, AAA Holdings and AAA Holdings GP is Trafalgar Court, Les Banques, GY1 3QL, St. Peter Port, Guernsey, Channel Islands.  The address of each of Athene Management, Palmetto Advisors, AAA Guarantor, Int’l Management, Int’l Management GP, Capital Management, Capital Management GP, Management Holdings and Management Holdings GP is 9 West 57th Street, New York, NY 10019.

 

 EX-99.2 3 ex-99d2.htm EX-99.2

Exhibit 99.2

 

This Statement on Form 4 is filed by: (i) Apollo Principal Holdings III, L.P., (ii) Apollo Principal Holdings III GP, Ltd., (iii)  Apollo Palmetto Advisors, L.P., (iv) Apollo Palmetto Management, LLC, (v) Apollo Principal Holdings IV, L.P., (vi) Apollo Principal Holdings IV GP, LLC, (vii)  Apollo Capital Management, L.P., (viii) Apollo Capital Management GP, LLC, (ix) AAA Guarantor-Athene, L.P., (x) AAA Investments, L.P., (xi) AAA Associates, L.P., (xii) AAA MIP Limited, (xiii) Apollo Alternative Assets, L.P., (xiv) Apollo International Management, L.P., (xv) Apollo International Management GP, LLC, (xvi) Athene Asset Management, L.P., (xvii) AAM GP Ltd., (xviii) Apollo Life Asset Ltd. (xix) AAA Holdings, L.P., (xx) AAA Holdings GP Limited, (xxi) Apollo Management Holdings, L.P., and (xxii) Apollo Management Holdings, GP, LLC.

 

Name of Designated Filer:               Apollo Management Holdings GP, LLC

 

Date of Event Requiring Statement:             March 5, 2018

 

Issuer Name: Athene Holding Ltd.

 

 

APOLLO PRINCIPAL HOLDINGS III, L.P.

 

 

 

By:

Apollo Principal Holdings III GP, Ltd.

 

 

its general partner

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

 

 

APOLLO PRINCIPAL HOLDINGS III GP, LTD.

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

APOLLO PALMETTO ADVISORS, L.P.

 

 

 

By: Apollo Palmetto Management, LLC

 

its general partner

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

APOLLO PALMETTO MANAGEMENT, LLC

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

1


 

 

APOLLO PRINCIPAL HOLDINGS IV, L.P.

 

 

 

 

By:

Apollo Principal Holdings IV GP, Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

 

 

 

APOLLO PRINCIPAL HOLDINGS IV GP, LTD.

 

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

 

ATHENE ASSET MANAGEMENT, L.P.

 

 

 

 

By:

AAM GP Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ Angelo Lombardo

 

 

 

Angelo Lombardo

 

 

 

Senior Vice President, General Counsel and Secretary

 

 

 

 

AAM GP LTD.

 

 

 

 

By:

/s/ Angelo Lombardo

 

 

Angelo Lombardo

 

 

Senior Vice President, General Counsel and Secretary

 

 

 

 

APOLLO LIFE ASSET LTD.

 

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

 

APOLLO CAPITAL MANAGEMENT, L.P.

 

 

 

 

By:

Apollo Capital Management GP, LLC

 

 

its general partner

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

2


 

 

APOLLO CAPITAL MANAGEMENT GP, LLC

 

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

AAA GUARANTOR - ATHENE, L.P.

 

 

 

By:

AAA Investments, L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

 

its service provider

 

 

 

 

 

 

 

By:

Apollo International Management L.P.,

 

 

 

 

its managing general partner

 

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

 

 

 

 

 

 

 

 

William B. Kuesel

 

 

 

 

 

 

 

Vice President

 

 

 

 

AAA INVESTMENTS, L.P.

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its service provider

 

 

 

 

 

By:

Apollo International Management, LP

 

 

 

its managing general partner

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

 

 

 

AAA ASSOCIATES, L.P.

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its service provider

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

 

William B. Kuesel

 

 

 

 

Vice President

 

3

 

 

AAA MIP LIMITED

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its service provider

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

 

 

William B. Kuesel

 

 

 

 

 

Vice President

 

 

 

APOLLO ALTERNATIVE ASSETS, L.P.

 

 

 

By:

Apollo International Management, L.P.

 

 

its managing general partner

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

 

William B. Kuesel

 

 

 

 

Vice President

 

 

 

APOLLO INTERNATIONAL MANAGEMENT, L.P.

 

 

 

By:

Apollo International Management GP, LLC

 

 

its general partner

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

 

 

APOLLO INTERNATIONAL MANAGEMENT GP, LLC

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

 

 

AAA HOLDINGS, L.P.

 

 

 

By:

AAA Holdings GP Limited

 

 

its general partner

 

 

 

 

 

 

By:

/s/ John Suydam

 

 

 

John Suydam

 

 

 

Director

 

4


 

 

AAA HOLDINGS GP LIMITED

 

 

 

By:

/s/ John Suydam

 

 

John Suydam

 

 

Director

 

 

 

APOLLO MANAGEMENT HOLDINGS, L.P.

 

 

 

By:

Apollo Management Holdings GP, LLC,

 

 

its general partner

 

 

 

 

 

 

By:

/s/ William B. Kuesel

 

 

 

William B. Kuesel

 

 

 

Vice President

 

 

 

APOLLO MANAGEMENT HOLDINGS, GP, LLC

 

 

 

By:

/s/ William B. Kuesel

 

 

William B. Kuesel

 

 

Vice President

 

5