Kaplan David B's Form 4 filing
Ares Management Corp (ARES) · filed Oct 27, 2022
- Accession no.
- 0001628280-22-027253
- Filed
- Oct 27, 2022
- Trade date
- Oct 14-27, 2022
- Filing delay
- 13 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 11 non-derivative transactions and 1 derivative transaction. Open-market sales total $36.2M. It was filed 13 days after the trade, past the 2-business-day deadline.
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 |
|---|---|
| Kaplan David BCIK 0001025976 | Director, Officer (Co-Founder & Co-Chair of PEG) |
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 14, 2022 | Class A Common Stock | CConversionAcquired | +500,000 | $0.00 | $0 | 500,000 | Indirect | |
| Oct 25, 2022 | Class A Common Stock | SSaleDisposed | −65,777 | $70.42 | −$4,632,016.34 | 434,223 | Indirect | |
| Oct 25, 2022 | Class A Common Stock | SSaleDisposed | −57,337 | $71.39 | −$4,093,288.43 | 376,886 | Indirect | |
| Oct 26, 2022 | Class A Common Stock | SSaleDisposed | −61,649 | $72.05 | −$4,441,810.45 | 315,237 | Indirect | |
| Oct 26, 2022 | Class A Common Stock | SSaleDisposed | −80,851 | $72.44 | −$5,856,846.44 | 234,386 | Indirect | |
| Oct 26, 2022 | Class A Common Stock | SSaleDisposed | −41,604 | $73.60 | −$3,062,054.4 | 192,782 | Indirect | |
| Oct 27, 2022 | Class A Common Stock | SSaleDisposed | −19,888 | $70.21 | −$1,396,336.48 | 172,894 | Indirect | |
| Oct 27, 2022 | Class A Common Stock | SSaleDisposed | −15,300 | $71.51 | −$1,094,103 | 157,594 | Indirect | |
| Oct 27, 2022 | Class A Common Stock | SSaleDisposed | −19,617 | $72.63 | −$1,424,782.71 | 137,977 | Indirect | |
| Oct 27, 2022 | Class A Common Stock | SSaleDisposed | −101,620 | $73.60 | −$7,479,232 | 36,357 | Indirect | |
| Oct 27, 2022 | Class A Common Stock | SSaleDisposed | −36,357 | $74.26 | −$2,699,870.82 | 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 14, 2022 | Class A Common Stock | CConversionAcquired | +500,000 | – | – | 9,921,596 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.