Harris Joshua 的 Form 4 申報
Apollo Global Management, Inc.（APO），2021/10/15 申報
- 申報編號
- 0000950142-21-003194
- 申報時間
- 2021/10/15
- 交易日
- 2021/10/13-10/15
- 申報延遲
- 2 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
這份申報列了 9 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $1,290 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Harris JoshuaCIK 0001106636 | 董事、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2021/10/13 | Class A Common Stock | M行使選擇權取得 | +58,545 | $0.00F1 | $0 | 58,545 | 間接 | |
| 2021/10/13 | Class A Common Stock | S賣出處分 | −57,599 | $65.95F3 | −$3,798,654.05 | 946 | 間接 | |
| 2021/10/13 | Class A Common Stock | S賣出處分 | −946 | $66.54F4 | −$62,946.84 | 0 | 間接 | |
| 2021/10/14 | Class A Common Stock | M行使選擇權取得 | +57,995 | $0.00F1 | $0 | 57,995 | 間接 | |
| 2021/10/14 | Class A Common Stock | S賣出處分 | −17,027 | $67.18F5 | −$1,143,873.86 | 40,968 | 間接 | |
| 2021/10/14 | Class A Common Stock | S賣出處分 | −40,968 | $67.87F6 | −$2,780,498.16 | 0 | 間接 | |
| 2021/10/15 | Class A Common Stock | M行使選擇權取得 | +75,706 | $0.00F1 | $0 | 75,706 | 間接 | |
| 2021/10/15 | Class A Common Stock | S賣出處分 | −73,387 | $67.56F7 | −$4,958,025.72 | 2,319 | 間接 | |
| 2021/10/15 | Class A Common Stock | S賣出處分 | −2,319 | $68.13F8 | −$157,993.47 | 0 | 間接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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").
表 I 有 3 筆交易的價格引用這則附註。
- F3
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.4200 to $66.4100, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.4300 to $66.6400, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.6500 to $67.6400 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.
表 I 有 1 筆交易的價格引用這則附註。
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.6500 to $68.1000, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F7
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.0200 to $68.0100, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F8
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.0200 to $68.5400, 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.
表 I 有 1 筆交易的價格引用這則附註。
- F11
Pursuant to Instruction 4(c)(iii), this response has been left blank.
表 II 有 3 筆交易的價格引用這則附註。