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