Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-19-028495
Date:2019-09-12
Issuer: ATHENE HOLDING LTD (ATH)
Original Submission Date:

Reporting Person:

GILLIS FRANK LAUREN
C/O ATHENE HOLDING LTD., CHESNEY HOUSE,
FIRST FLOOR, 96 PITTS BAY ROAD PEMBROKE, D0 HM08

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON SHARES 2019-09-12 M 7,600 a $10.00 7,600 indirect f1
CLASS A COMMON SHARES 2019-09-12 M 1,900 a $10.00 1,900 indirect f2
CLASS A COMMON SHARES 2019-09-12 S 10,000 d $42.03 157,817 direct
CLASS A COMMON SHARES 2019-09-12 S 7,600 d $42.04 0 indirect
CLASS A COMMON SHARES 2019-09-12 S 1,900 d $42.03 0 indirect f2
CLASS A COMMON SHARES 2019-09-12 0 $0.00 20,000 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
CLASS M-1 COMMON SHARES 10.0 2019-09-12 deemed execution date M 7,600 (d) class a common shares 7,600 $10.00 315,200 indirect by gillis family trust u/a/d 12/30/14
CLASS M-1 COMMON SHARES 10.0 2019-09-12 deemed execution date M 1,900 (d) class a common shares 1,900 $10.00 3,800 indirect by the anne e fowler foundation, inc.
Footnotes
IDfootnote
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 $41.24 to $42.42 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 $41.27 to $42.40 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.
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