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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Athene Holding Ltd | NYSE:ATH | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 83.33 | 0 | 01:00:00 |
1. Name and Address of Reporting Person * Belardi James Richard | 2. Issuer Name and Ticker or Trading Symbol Athene Holding Ltd [ ATH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chairman, CEO and CIO |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Shares | 1/1/2022 | D | 1.89 | D | (1)(2) | 0 | I | By James and Leslie Belardi Family Trust | ||
Class A Common Shares | 1/1/2022 | D | 176790 | D | (1)(2) | 0 | I | by Belardi 2020 GRAT | ||
Class A Common Shares | 1/1/2022 | D | 16657 | D | (1)(2) | 0 | I | By Belardi Family Irrevocable Trust | ||
Class A Common Shares | 1/1/2022 | D | 159696 | D | (1)(2) | 0 | I | JB Athene Investments, LLC | ||
Class A Common Shares | 1/1/2022 | D | 856288 | D | (1)(2) | 0 | I | JB Athene Investments II, LLC | ||
Class A Common Shares | 1/1/2022 | D | 30672 | D | (1)(3) | 0 | I | By James and Leslie Belardi Family Trust | ||
Class A Common Shares | 1/1/2022 | A(1)(4) | 56256 | A | $0 | 56256 | I | By James and Leslie Belardi Family Trust | ||
Class A Common Shares | 1/1/2022 | D | 56256 | D | (1)(5) | 0 | I | By James and Leslie Belardi Family Trust |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $46.64 | 1/1/2022 | D | 58686 | (6) | 2/22/2031 | Class A Common Shares | 58686 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Employee Stock Option (Right to Buy) | $48.05 | 1/1/2022 | D | 66278 | (8) | 2/27/2028 | Class A Common Shares | 66278 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Employee Stock Option (Right to Buy) | $42.44 | 1/1/2022 | D | 64433 | (9) | 4/3/2029 | Class A Common Shares | 64433 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Employee Stock Option (Right to Buy) | $49.71 | 1/1/2022 | D | 58303 | (10) | 2/21/2030 | Class A Common Shares | 58303 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Employee Stock Option (Right to Buy) | $51.25 | 1/1/2022 | D | 66278 | (11) | 3/21/2027 | Class A Common Shares | 66278 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Employee Stock Option (Right to Buy) | $33.95 | 1/1/2022 | D | 128645 | (12) | 6/6/2026 | Class A Common Shares | 128645 | (1)(7) | 0 | I | By James and Leslie Belardi Family Trust | |||
Warrants (Right to Buy) | $10.78 | 1/1/2022 | D | 617661 | (13) | (13) | Class A Common Shares | 617661 | (1)(14) | 0 | I | By Belardi 2019 GRAT | |||
Warrants (Right to Buy) | $13.46 | 1/1/2022 | D | 475000 | (13) | (13) | Class A Common Shares | 475000 | (1)(14) | 0 | I | By Belardi 2019 GRAT | |||
Warrants (Right to Buy) | $10 | 1/1/2022 | D | 433978 | (13) | (13) | Class A Common Shares | 433978 | (1)(14) | 0 | I | By Belardi 2019 GRAT | |||
Warrants (Right to Buy) | $10.78 | 1/1/2022 | D | 181299 | (13) | (13) | Class A Common Shares | 181299 | (1)(14) | 0 | I | By JB Athene Investments, LLC | |||
Warrants (Right to Buy) | $13.46 | 1/1/2022 | D | 475000 | (13) | (13) | Class A Common Shares | 475000 | (1)(14) | 0 | I | By JB Athene Investments, LLC | |||
Warrants (Right to Buy) | $10 | 1/1/2022 | D | 951110 | (13) | (13) | Class A Common Shares | 951110 | (1)(14) | 0 | I | By JB Athene Investments, LLC | |||
Warrants (Right to Buy) | $10 | 1/1/2022 | D | 334325 | (13) | (13) | Class A Common Shares | 334325 | (1)(14) | 0 | I | By Belardi Family Irrevocable Trust | |||
Warrants (Right to Buy) | $10 | 1/1/2022 | D | 509434 | (13) | (13) | Class A Common Shares | 509434 | (1)(14) | 0 | I | By JB Athene Investments II, LLC | |||
Time-Based Restricted Stock Units | (15) | 1/1/2022 | D | 13401 | (16) | (16) | Class A Common Shares | 13401 | (1)(19) | 0 | I | By James and Leslie Belardi Family Trust | |||
Time-Based Restricted Stock Units | (15) | 1/1/2022 | D | 8382 | (17) | (17) | Class A Common Shares | 8382 | (1)(19) | 0 | I | By James and Leslie Belardi Family Trust | |||
Time-Based Restricted Stock Units | (15) | 1/1/2022 | D | 4909 | (18) | (18) | Class A Common Shares | 4909 | (1)(19) | 0 | I | By James and Leslie Belardi Family Trust | |||
Performance-Based Restricted Stock Units | (15) | 1/1/2022 | A (1)(20) | 25146 | (21) | (21) | Class A Common Shares | 25146 | $0 | 25146 | I | By James and Leslie Belardi Family Trust | |||
Performance-Based Restricted Stock Units | (15) | 1/1/2022 | D | 25146 | (21) | (21) | Class A Common Shares | 25146 | (1)(22) | 0 | I | By James and Leslie Belardi Family Trust |
Remarks: Mr. Belardi also serves as Chief Executive Officer of Apollo Insurance Solutions Group, LP ("ISG"), a subsidiary of Apollo Global Management, Inc. ("Apollo"). Certain of Apollo's affiliates hold common shares of the Issuer. In addition, certain of Apollo's affiliates manage investment funds (the "Apollo Funds") that hold common shares of the Issuer and may be deemed to beneficially own the common shares of the Issuer held by the Apollo Funds. This report does not include any securities of the Issuer held by Apollo, ISG, any other Apollo affiliate or any of the Apollo Funds or that may be deemed to be beneficially owned by Apollo, ISG, any other Apollo affiliate or any Apollo investment managers or investment advisors affiliated with the Apollo Funds, and Mr. Belardi disclaims beneficial ownership of all such securities. This report shall not be deemed an admission that Mr. Belardi is the beneficial owner of, or has any pecuniary interest in, such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 9, 2016). |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
Belardi James Richard C/O ATHENE HOLDING LTD. WASHINGTON HOUSE, 16 CHURCH STREET HAMILTON, D0 HM 11 | X | Chairman, CEO and CIO |
Signatures | ||
/s/ Ira Rosenblatt, attorney-in-fact | 1/3/2022 | |
**Signature of Reporting Person | Date |
1 Year Athene Chart |
1 Month Athene Chart |
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