Harris Joshua's Form 4 filing
Apollo Global Management, Inc. (APO) · filed Oct 8, 2021
- Accession no.
- 0000950142-21-003110
- Filed
- Oct 8, 2021
- Trade date
- Oct 6-8, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 3 derivative transactions. Open-market sales total $12.6M. It was filed 2 days 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 |
|---|---|
| Harris JoshuaCIK 0001106636 | Director, 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 6, 2021 | Class A Common Stock | MOption exerciseAcquired | +64,179 | $0.00F1 | $0 | 64,179 | Indirect | |
| Oct 6, 2021 | Class A Common Stock | SSaleDisposed | −13,531 | $60.47F3 | −$818,219.57 | 50,648 | Indirect | |
| Oct 6, 2021 | Class A Common Stock | SSaleDisposed | −18,662 | $61.36F4 | −$1,145,100.32 | 31,986 | Indirect | |
| Oct 6, 2021 | Class A Common Stock | SSaleDisposed | −31,986 | $62.33F5 | −$1,993,687.38 | 0 | Indirect | |
| Oct 7, 2021 | Class A Common Stock | MOption exerciseAcquired | +78,261 | $0.00F1 | $0 | 78,261 | Indirect | |
| Oct 7, 2021 | Class A Common Stock | SSaleDisposed | −40,856 | $63.46F6 | −$2,592,721.76 | 37,405 | Indirect | |
| Oct 7, 2021 | Class A Common Stock | SSaleDisposed | −37,405 | $64.08F7 | −$2,396,912.4 | 0 | Indirect | |
| Oct 8, 2021 | Class A Common Stock | MOption exerciseAcquired | +55,847 | $0.00F1 | $0 | 55,847 | Indirect | |
| Oct 8, 2021 | Class A Common Stock | SSaleDisposed | −9,066 | $64.12F8 | −$581,311.92 | 46,781 | Indirect | |
| Oct 8, 2021 | Class A Common Stock | SSaleDisposed | −39,469 | $65.06F9 | −$2,567,853.14 | 7,312 | Indirect | |
| Oct 8, 2021 | Class A Common Stock | SSaleDisposed | −7,312 | $65.61F10 | −$479,740.32 | 0 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 6, 2021 | Class A Common Stock | MOption exerciseDisposed | −64,179 | –F13 | – | 0 | Indirect | |
| Oct 7, 2021 | Class A Common Stock | MOption exerciseDisposed | −78,261 | –F13 | – | 0 | Indirect | |
| Oct 8, 2021 | Class A Common Stock | MOption exerciseDisposed | −55,847 | –F13 | – | 0 | Indirect |
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.
- F1
Each Apollo Operating Group ("AOG") unit represents a right to receive one Class A share of Apollo Global Management, Inc. (the "Issuer"), subject to the restrictions and provisions set forth in the Agreement Among Principals, dated July 13, 2007, by and among the reporting person, Leon Black and Marc Rowan (the "Agreement Among Principals"), and the Seventh Amended and Restated Exchange Agreement, dated July 29, 2020, by and among the Issuer, AP Professional Holdings, L.P. and the other parties thereto (the "Exchange Agreement").
Referenced by the price of 3 transactions in Table I.
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.0000 to $60.9700, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $61.0000 to $61.9900, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.0000 to $62.6100 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $62.7600 to $63.7500, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.7600 to $64.4000, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.4500 to $64.4100, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F9
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.4900 to $65.4700, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F10
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.4900 to $65.7400, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.
Referenced by the price of 1 transaction in Table I.
- F13
Pursuant to Instruction 4(c)(iii), this response has been left blank.
Referenced by the price of 3 transactions in Table II.