1. Name and Address of Reporting Person * |
Â
KLEINMAN SCOTT |
|
2. Date of Event Requiring Statement (Month/Day/Year) 01/01/2018 |
3. Issuer Name and Ticker or Trading Symbol Apollo Global Management LLC [APO]
|
C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director |
_____ 10% Owner |
__X__ Officer (give title below) |
_____ Other (specify below) |
Co-President |
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
NEW YORK, NY 10019 |
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 Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Class A Shares
|
49,961
(1)
|
D
|
Â
|
Class A Shares
|
35,157
|
I
|
KRT APO Series LLC
(2)
|
Class A Shares
|
56,110
|
I
|
KRT APO Series LLC (4/30/2015)
(3)
|
Class A Shares
|
20,834
|
I
|
KRT APO Series 6/30/15 LLC
(4)
|
Class A Shares
|
20,834
|
I
|
KRT APO Series 9/30/15 LLC
(5)
|
Class A Shares
|
23,876
|
I
|
KRT APO Series 12/31/15 LLC
(6)
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Apollo Operating Group units
|
Â
(7)
|
Â
(7)
|
Class A Shares
|
3,043,686
|
$
(8)
|
I
|
By AP Professional Holdings, L.P.
(9)
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Reported amount includes 6,086 restricted share units ("RSUs") granted under the 2007 Apollo Global Management, LLC Omnibus Equity Incentive Plan (the "2007 Plan"). Each RSU represents the contingent right to receive, in accordance with the issuance schedule set forth in the applicable RSU award agreement, one Class A share for each vested RSU. The RSUs vest in installments in accordance with the terms of the applicable RSU award agreement, provided the reporting person remains in service through the applicable vesting date. |
(2) |
By KRT APO Series LLC, a vehicle over which the reporting person exercises voting and investment control. |
(3) |
By KRT APO Series LLC (4/30/2015), a vehicle over which the reporting person exercises voting and investment control. |
(4) |
By KRT APO Series 6/30/15 LLC, a vehicle over which the reporting person exercises voting and investment control. |
(5) |
By KRT APO Series 9/30/15 LLC, a vehicle over which the reporting person exercises voting and investment control. |
(6) |
By KRT APO Series 12/31/15 LLC, a vehicle over which the reporting person exercises voting and investment control. |
(7) |
Pursuant to the reporting person's Roll-Up Agreement, dated July 13, 2007, by and among the reporting person, the Issuer, AP Professional Holdings, L.P. ("AP Prof") and the other parties thereto (the "Roll-Up Agreement"), the Apollo Operating Group units ("AOG units") were fully vested as of June 30, 2013 and do not expire. |
(8) |
Each AOG unit represents a right to receive one Class A share, subject to the restrictions and provisions set forth in the reporting person's Roll-Up Agreement and the Fifth Amended and Restated Exchange Agreement, dated April 28, 2017, by and among the Issuer, AP Prof and the other parties thereto (the "Exchange Agreement"). |
(9) |
KRT Investments LLC and Kleinman Children's Trust are limited partners of AP Prof, the direct holder of the AOG units. The manager of KRT Investments LLC is Alan Kleinman, the reporting person's father. The sole member of KRT Investments LLC is The Kleinman Residual Trust and the trustee of The Kleinman Residual Trust is Alan Kleinman. The trustee of Kleinman Children's Trust is Alan Kleinman. The AOG units indirectly held by KRT Investments LLC and Kleinman Children's Trust are the number of AOG units that such entities have a right to receive as limited partners in AP Prof, subject to the restrictions and provisions set forth in the Roll-Up Agreement and the Exchange Agreement. |