0001127602-20-009251.txt : 20200303 0001127602-20-009251.hdr.sgml : 20200303 20200303200921 ACCESSION NUMBER: 0001127602-20-009251 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200228 FILED AS OF DATE: 20200303 DATE AS OF CHANGE: 20200303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rhodes John M CENTRAL INDEX KEY: 0001657130 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37963 FILM NUMBER: 20685223 MAIL ADDRESS: STREET 1: C/O ATHENE HOLDING LTD., CHESNEY HOUSE STREET 2: 96 PITTS BAY ROAD CITY: PEMBROKE STATE: D0 ZIP: HM08 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] IRS NUMBER: 980630022 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 form4.xml PRIMARY DOCUMENT X0306 4 2020-02-28 0001527469 Athene Holding Ltd ATH 0001657130 Rhodes John M C/O ATHENE HOLDING LTD., CHESNEY HOUSE, FIRST FLOOR, 96 PITTS BAY ROAD PEMBROKE D0 HM08 BERMUDA 1 See Remarks Class A Common Shares 2020-02-28 4 A 0 2586 A 35946 D Class M-4 Prime Common Shares 36.40 2020-02-28 4 F 0 36460.72 9.87 D Class A Common Shares 36460.72 119094.61 D Class M-4 Prime Common Shares 36.40 2020-02-28 4 D 0 119094.61 D Class A Common Shares 119094.61 0 D Warrants (Right to Buy) 36.40 2020-02-28 4 A 0 113139 A Class A Common Shares 113139 113139 D This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the vesting of Class M-4 Prime common shares. The price of derivative security represents the per share value of the Class M-4 Prime common shares used to calculate the number of shares withheld. In connection with the elimination of the Issuer's multi-class share structure, and pursuant to an exchange that was approved by the Compensation Committee of the Issuer's board of directors on December 3, 2019 for purposes of Rule 16b-3 under the Securities Exchange Act of 1934, unvested Class M common shares held by the Reporting Person were vested prior to the exchange and Class M common shares held by the Reporting Person were exchanged for (i) a number of Class A common shares with an aggregate value (based on the volume weighted average trading price of the Class A common shares over the previous 60 calendar days and rounded up to the next whole Class A common share in the event of any fractional shares) equal to 5% of the fair market value of the exchanged Class M common shares and (ii) a number of warrants to purchase Class A common shares with an exercise price equal to the exercise price of the Class M shares being exchanged and with an aggregate fair market value (based on the Black-Scholes option pricing methodology) equal to 95% of the fair market value of the exchanged Class M common shares. These warrants can be exercised at any time and have no expiration date. Executive Vice President and Chief Risk Officer; Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 9, 2016) /s/ Ira Rosenblatt, attorney-in-fact 2020-03-03