0001104659-21-098964.txt : 20210802 0001104659-21-098964.hdr.sgml : 20210802 20210802171124 ACCESSION NUMBER: 0001104659-21-098964 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20210730 FILED AS OF DATE: 20210802 DATE AS OF CHANGE: 20210802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ATHENE ANNUITY & LIFE ASSURANCE Co CENTRAL INDEX KEY: 0000059252 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136915 BUSINESS ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 BUSINESS PHONE: 1-864-609-1000 MAIL ADDRESS: STREET 1: 400 BROOKFIELD PARKWAY CITY: GREENVILLE STATE: SC ZIP: 29607 FORMER NAME: FORMER CONFORMED NAME: LIBERTY LIFE INSURANCE CO DATE OF NAME CHANGE: 19960202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Annuity & Life Co CENTRAL INDEX KEY: 0000837332 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136916 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARKWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: Aviva Life & Annuity Co DATE OF NAME CHANGE: 20131023 FORMER NAME: FORMER CONFORMED NAME: AMERUS LIFE INSURANCE CO DATE OF NAME CHANGE: 19960726 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL LIFE INSURANCE CO DATE OF NAME CHANGE: 19950227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene USA Corp CENTRAL INDEX KEY: 0001051717 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136914 BUSINESS ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 BUSINESS PHONE: 1-888-266-8489 MAIL ADDRESS: STREET 1: 7700 MILLS CIVIC PARWAY CITY: WEST DES MOINES STATE: IA ZIP: 50266 FORMER NAME: FORMER CONFORMED NAME: AMERUS GROUP CO/IA DATE OF NAME CHANGE: 20000921 FORMER NAME: FORMER CONFORMED NAME: AMERICAN MUTUAL HOLDING CO DATE OF NAME CHANGE: 19971217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Apollo Management Holdings GP, LLC CENTRAL INDEX KEY: 0001449433 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136917 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136908 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: AISG GP Ltd. CENTRAL INDEX KEY: 0001829976 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136911 BUSINESS ADDRESS: STREET 1: C/O WALKERS CORPORATE LIMITED STREET 2: CAYMAN CORPORATE CENTER, 27 HOSPITAL RD CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-9008 BUSINESS PHONE: (914) 694-8000 MAIL ADDRESS: STREET 1: C/O WALKERS CORPORATE LIMITED STREET 2: CAYMAN CORPORATE CENTER, 27 HOSPITAL RD CITY: GEORGE TOWN, GRAND CAYMAN STATE: E9 ZIP: KY1-9008 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136910 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 Insurance Solutions Group LP CENTRAL INDEX KEY: 0001505002 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136912 BUSINESS ADDRESS: STREET 1: 2121 ROSECRANS AVE STREET 2: STE 5300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 310-698-4481 MAIL ADDRESS: STREET 1: 2121 ROSECRANS AVE STREET 2: STE 5300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 FORMER NAME: FORMER CONFORMED NAME: Athene Asset Management, L.P. DATE OF NAME CHANGE: 20141201 FORMER NAME: FORMER CONFORMED NAME: Athene Asset Management LLC DATE OF NAME CHANGE: 20101104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136913 BUSINESS ADDRESS: STREET 1: SECOND FLOOR, WASHINGTON HOUSE STREET 2: 16 CHURCH STREET CITY: HAMILTON STATE: D0 ZIP: HM 11 BUSINESS PHONE: 441-279-8400 MAIL ADDRESS: STREET 1: SECOND FLOOR, WASHINGTON HOUSE STREET 2: 16 CHURCH STREET CITY: HAMILTON STATE: D0 ZIP: HM 11 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 211136909 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CION Ares Diversified Credit Fund CENTRAL INDEX KEY: 0001678124 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3 PARK AVENUE, 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-845-2577 MAIL ADDRESS: STREET 1: 3 PARK AVENUE, 36TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 3 1 tm2123691-1_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2021-07-30 0 0001678124 CION Ares Diversified Credit Fund CADEX 0001449433 Apollo Management Holdings GP, LLC GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0000837332 Athene Annuity & Life Co GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0000059252 ATHENE ANNUITY & LIFE ASSURANCE Co GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001051717 Athene USA Corp GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001527469 Athene Holding Ltd GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001505002 Apollo Insurance Solutions Group LP 2121 ROSECRANS AVE STE 5300 EL SEGUNDO CA 90245 0 0 1 0 0001829976 AISG GP Ltd. GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001456421 Apollo Capital Management, L.P. GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001456419 Apollo Capital Management GP, LLC GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001449434 Apollo Management Holdings, L.P. GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 Mandatory Redeemable Preferred Stock 7/30/2026 24000000 I See Footnote Mandatory Redeemable Preferred Stock 9/30/2026 26000000 I See Footnote Mandatory Redeemable Preferred Stock 9/30/2028 20000000 I See Footnote See Exhibit 99.1. See signatures attached as Exhibit 99.2 2021-08-02 EX-99.1 2 tm2123691d1_ex99-1.htm EXHIBIT 99.1

Exhibit 99.1

 

(1)The Mandatory Redeemable Preferred Shares (the “Shares”) of CION Ares Diversified Credit Fund, Inc. (the “Issuer”) reported as beneficially owned are held of record by Athene Annuity and Life Company (“AAIA”).

 

Athene Annuity & Life Assurance Company (“AADE”) is the sole shareholder of AAIA and Athene USA Corporation (“Athene USA”) is the sole shareholder of AADE. Athene Life Re Ltd. (“Athene Life Re”) is the sole shareholder of Athene USA. Athene Holding Ltd. (“Athene Holding”) is the sole shareholder of Athene Life Re, and Apollo Insurance Solutions Group, L.P. (“AISG”) is the investment adviser of each of AAIA, AADE, Athene USA, Athene Life Re and Athene Holding. AISG GP Ltd. (“AISG GP”) is the general partner of AISG. Apollo Life Asset LP (“Apollo Life”) is the general partner of AISG GP, and Apollo Life Asset GP, LLC (“Apollo Life GP”) is the general partner of Apollo Life. Apollo Capital Management, L.P. (“Capital Management”); is the sole member of Apollo Life GP. The general partner of Capital Management is Apollo Capital Management GP (“Capital Management GP”). Apollo Management Holdings, L.P. (“Management Holdings”) is the sole member and manager of Capital Management GP, and Apollo Management Holdings GP, LLC (“Management Holdings GP”) is the general partner of Management Holdings.

 

AADE, Athene USA, Athene Life Re, Athene Holding, AISG, AISG GP, Apollo Life, Apollo Life GP, Capital Management, Capital Management GP, Management Holdings, Management Holdings GP, each disclaim beneficial ownership of all Common Stock included in this report, and the filing of this report shall not be construed as an admission that any such person or entity is the beneficial owner of any such securities for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

The address of the principal office of AAIA, AADE and Athene USA is 7700 Mills Civic Parkway, West Des Moines, Iowa 50266. The address of the principal office of AISG is 2121 Rosecrans Ave. Ste 5300, El Segundo, California 90245. The address of the principal office of Athene Life Re and Athene Holding is Second Floor, Washington House, 16 Church Street, Hamilton HM 11 Bermuda. The address of the principal office of each of AISG GP, Apollo Life, Apollo Life GP, is c/o Walkers Corporate Limited, Cayman Corporate Center, 27 Hospital Road, George Town, KY1-9008 Grand Cayman, Cayman Islands. The address of the principal office of each of Capital Management, Capital Management GP, Management Holdings, and Management Holdings GP is 9 West 57th Street, New York, NY 10019.

 

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 EX-99.2 3 tm2123691d1_ex99-2.htm EXHIBIT 99.2

Exhibit 99.2

 

This Statement on Form 3 is filed by: (i) Athene Annuity and Life Company; (ii) Athene Annuity & Life Assurance Company; (iii) Athene USA Corporation; (iv) Athene Life Re Ltd.; (v) Athene Holding Ltd.; (vi) Apollo Insurance Solutions Group LP; (vii) AISG GP Ltd.; (viii) Apollo Life Asset, L.P.; (ix) Apollo Life Asset GP, LLC; (x) Apollo Capital Management, L.P.; (xi) Apollo Capital Management GP, LLC; (xii) Apollo Management Holdings, L.P.; (xiii) Apollo Management Holdings GP, LLC.

 

Name of Designated Filer: Apollo Management Holdings GP, LLC

Date of Event Requiring Statement: July 30, 2021

Issuer Name and Ticker or Trading Symbol: CION Ares Diversified Credit Fund [CADEX]

 

  ATHENE ANNUITY AND LIFE COMPANY
     
  By: Apollo Insurance Solutions Group LP,
    its investment adviser 
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

  ATHENE ANNUITY & LIFE ASSURANCE COMPANY
     
  By: Apollo Insurance Solutions Group LP,
    its investment adviser 
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

  ATHENE USA CORPORATION
     
  By: Apollo Insurance Solutions Group LP,
    its investment adviser 
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

Signature Page to Form 4 (CION Ares Diversified Credit Fund [CADEX])

 

1

 

 

  Athene Life Re Ltd.
     
  By: Apollo Insurance Solutions Group LP,
    its investment adviser 
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

  ATHENE HOLDING LTD.
     
  By: Apollo Insurance Solutions Group LP,
    its investment adviser 
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

  APOLLO INSURANCE SOLUTIONS GROUP LP
     
    By: AISG GP Ltd.,
      its general partner 
       
      By: /s/ Angelo Lombardo
        Angelo Lombardo
        Authorized Signatory

 

  AISG GP LTD.
   
  By: /s/ Angelo Lombardo
    Angelo Lombardo
    Authorized Signatory

 

  APOLLO LIFE ASSET, L.P.
     
  By: Apollo Life Asset GP, LLC,
    its general partner
       
      By: /s/ William B. Kuesel
        William B. Kuesel
        Vice President

 

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  APOLLO LIFE ASSET GP, LLC
   
  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

 

  APOLLO CAPITAL MANAGEMENT GP, LLC
   
  By: /s/ William B. Kuesel
    William B. Kuesel
    Vice President

 

  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

 

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