Carlyle Group Inc.'s Form 4 filing
ZoomInfo Technologies Inc. (GTM) · filed Sep 3, 2021
- Accession no.
- 0000899243-21-035128
- Filed
- Sep 3, 2021, 4:30 PM ET
- Trade date
- Sep 2, 2021
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market sales total $64.2M. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Carlyle Group Inc.CIK 0001527166 | 10% Owner |
| Carlyle Holdings I GP Inc.CIK 0001548626 | 10% Owner |
| Carlyle Holdings I GP Sub L.L.C.CIK 0001548627 | 10% Owner |
| Carlyle Holdings I L.P.CIK 0001548628 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 2, 2021 | Class A Common Stock | CConversionAcquired | +1,035,891 | $0.00 | $0 | 1,035,891 | Indirect | Duplicate filing |
| Sep 2, 2021 | Class A Common Stock | SSaleDisposed | −1,035,891 | $62.00 | −$64,225,242 | 0 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 2, 2021 | Class A Common Stock | CConversionDisposed | −519,382 | $0.00 | $0 | 33,968,739 | Indirect | Duplicate filing |
| Sep 2, 2021 | Class A Common Stock | CConversionDisposed | −516,509 | $0.00 | $0 | 33,780,781 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.
Remarks
Due to the limitations of the electronic filing system, each of CG Subsidiary Holdings L.L.C., TC Group, L.L.C., TC Group Sub L.P., TC Group VI S1, L.L.C., TC Group VI S1, L.P., Carlyle Partners VI Evergreen Holdings, L.P., and CP VI Evergreen Holdings, L.P. are filing a separate Form 4.