4//SEC Filing
Gillis Frank Lauren 4
Accession 0001127602-19-032912
CIK 0001527469other
Filed
Nov 14, 7:00 PM ET
Accepted
Nov 15, 7:19 PM ET
Size
18.5 KB
Accession
0001127602-19-032912
Insider Transaction Report
Form 4
Gillis Frank Lauren
See Remarks
Transactions
- Exercise/Conversion
Class A Common Shares
2019-11-14$10.00/sh+7,600$76,000→ 7,600 total(indirect: By Trust) - Exercise/Conversion
Class A Common Shares
2019-11-14$10.00/sh+1,900$19,000→ 1,900 total(indirect: By Foundation) - Sale
Class A Common Shares
2019-11-14$43.89/sh−10,000$438,900→ 137,817 total - Sale
Class A Common Shares
2019-11-14$43.89/sh−7,600$333,564→ 0 total(indirect: By Trust) - Sale
Class A Common Shares
2019-11-14$43.89/sh−1,900$83,391→ 0 total(indirect: By Foundation) - Exercise/Conversion
Class M-1 Common Shares
2019-11-14−7,600→ 300,000 total(indirect: By Trust)Exercise: $10.00→ Class A Common Shares (7,600 underlying) - Exercise/Conversion
Class M-1 Common Shares
2019-11-14−1,900→ 0 total(indirect: By Foundation)Exercise: $10.00→ Class A Common Shares (1,900 underlying)
Holdings
- 20,000(indirect: By IRA)
Class A Common Shares
Footnotes (7)
- [F1]Anne Marie Heiser is trustee of the Gillis Family Trust u/a/d 12/30/14.
- [F2]The Reporting Person disclaims beneficial ownership of the shares held by The Anne E. Fowler Foundation, Inc., and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.
- [F3]The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person, the Gillis Family Trust and The Anne E. Fowler Foundation, Inc. on December 13, 2018.
- [F4]The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.58 to $44.05 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., 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 footnote.
- [F5]The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.58 to $44.06 inclusive. The Reporting Person undertakes to provide to Athene Holding Ltd., any security holder of Athene Holding Ltd., 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 footnote.
- [F6]These Class M-1 common shares are exchangeable into Class A common shares, on a one-to-one basis, once vested and upon payment of the conversion price (which can be paid in cash or shares).
- [F7]These Class M-1 common shares are fully vested. These vested Class M-1 common shares can be converted at the holder's election into Class A common shares at any time.
Documents
Issuer
Athene Holding Ltd
CIK 0001527469
Entity typeother
Related Parties
1- filerCIK 0001689345
Filing Metadata
- Form type
- 4
- Filed
- Nov 14, 7:00 PM ET
- Accepted
- Nov 15, 7:19 PM ET
- Size
- 18.5 KB