Kaplan David B's Form 4 filing
Ares Management Corp (ARES) · filed Aug 17, 2023
- Accession no.
- 0001628280-23-029915
- Filed
- Aug 17, 2023
- Trade date
- Aug 15-16, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 1 derivative transaction. Open-market sales total $19.7M. 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 |
|---|---|
| Kaplan David BCIK 0001025976 | Director, Officer (Co-Founder) |
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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Class A Common Stock | CConversionAcquired | +500,000 | $0.00 | $0 | 500,000 | Indirect | |
| Aug 15, 2023 | Class A Common Stock | SSaleDisposed | −115,575 | $97.81 | −$11,304,390.75 | 384,425 | Indirect | |
| Aug 15, 2023 | Class A Common Stock | SSaleDisposed | −44,884 | $98.85 | −$4,436,783.4 | 339,541 | Indirect | |
| Aug 15, 2023 | Class A Common Stock | SSaleDisposed | −29,321 | $99.96 | −$2,930,927.16 | 310,220 | Indirect | |
| Aug 15, 2023 | Class A Common Stock | SSaleDisposed | −274 | $100.78 | −$27,613.72 | 309,946 | Indirect | |
| Aug 16, 2023 | Class A Common Stock | SSaleDisposed | −9,946 | $97.51 | −$969,834.46 | 300,000 | 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 |
|---|---|---|---|---|---|---|---|---|
| Aug 15, 2023 | Class A Common Stock | CConversionDisposed | −500,000 | – | – | 9,421,596 | 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.