0001104659-23-068112.txt : 20230605 0001104659-23-068112.hdr.sgml : 20230605 20230605171139 ACCESSION NUMBER: 0001104659-23-068112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20230601 FILED AS OF DATE: 20230605 DATE AS OF CHANGE: 20230605 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 23993726 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: 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: 811-23165 FILM NUMBER: 23993728 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: Athene Holding Ltd CENTRAL INDEX KEY: 0001527469 STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-23165 FILM NUMBER: 23993727 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 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: 100 PARK AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-418-4700 MAIL ADDRESS: STREET 1: 100 PARK AVENUE STREET 2: 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 tm2317773-2_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-01 0 0001678124 CION Ares Diversified Credit Fund CADCX 0001449433 Apollo Management Holdings GP, LLC GEORGE TOWN GRAND CAYMAN KY 1-9008 0 0 1 0 0001527469 Athene Holding Ltd SECOND FLOOR, WASHINGTON HOUSE 16 CHURCH STREET HAMILTON D0 HM 11 BERMUDA 0 0 1 0 0000837332 Athene Annuity & Life Co 7700 MILLS CIVIC PARKWAY WEST DES MOINES IA 50266 0 0 1 0 0 Series G Mandatory Redeemable Preferred Stock 06/01/2028 2023-06-01 4 A 0 560000 25.00 A 560000 I See footnote See Exhibit 99.1. See signatures attached as Exhibit 99.2 2023-06-05 EX-99.1 2 tm2317773d2_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 indirect sole shareholder of AADE. Athene Holding Ltd. (“Athene Holding”) is the indirect sole shareholder of Athene USA, and Apollo Insurance Solutions Group, L.P. (“AISG”) is the investment adviser of each of AAIA, AADE, Athene USA, and Athene Holding. AISG GP Ltd. (“AISG GP”) is the general partner of AISG. Apollo Life Asset LP (“Apollo Life”) is the sole shareholder 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, LLC (“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 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 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.

 

 

 

 EX-99.2 3 tm2317773d2_ex99-2.htm EXHIBIT 99.2

 

Exhibit 99.2

 

This Statement on Form 4 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: June 1, 2023

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

 

  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

 

1 

 

 

  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
   
  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

 

2 

 

 

  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: Apollo Capital Management, L.P.,
      its managing member
   
      By: Apollo Capital Management GP, LLC,
        its general partner
   
        By: /s/ William B. Kuesel
          William B. Kuesel
          Vice President
   
  APOLLO LIFE ASSET GP, LLC
   
  By: Apollo Capital Management, L.P.,
    its managing member
   
    By: Apollo Capital Management GP, LLC,
      its general partner
   
      By: /s/ William B. Kuesel
        William B. Kuesel
        Vice President

 

3 

 

 

  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

 

4