0001181431-14-006807.txt : 20140213 0001181431-14-006807.hdr.sgml : 20140213 20140213172242 ACCESSION NUMBER: 0001181431-14-006807 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140211 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Global Management LLC CENTRAL INDEX KEY: 0001411494 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 208880053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9 West 57th Str CITY: new York STATE: ny ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 West 57th Str CITY: new York STATE: ny ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spilker Marc CENTRAL INDEX KEY: 0001513820 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35107 FILM NUMBER: 14607942 MAIL ADDRESS: STREET 1: 960 PARK AVENUE STREET 2: 7W CITY: NEW YORK STATE: NY ZIP: 10028 4 1 rrd402362.xml X0306 4 2014-02-11 0 0001411494 Apollo Global Management LLC APO 0001513820 Spilker Marc C/O APOLLO GLOBAL MANAGEMENT, LLC 9 WEST 57TH STREET, 43RD FLOOR NEW YORK NY 10019 0 1 0 0 President Class A Shares 2014-02-11 4 M 0 208333 8.00 A 3574948 D Class A Shares 2014-02-11 4 F 0 51282 32.50 D 3523666 D Class A Shares 2014-02-11 4 S 0 84545 32 D 3439121 D Class A Shares 26350 I By The Marc & Diane Spilker Foundation Class A Shares 26350 I By The Marc A. Spilker 2000 Family Trust Share Option (Right to Buy) 8.00 2014-02-11 4 M 0 208333 0 D 2011-12-31 2016-12-31 Class A Shares 208333 2500001 D The reporting person exercised a portion of his share options (the "Options") that were granted to the reporting person pursuant to the Apollo Global Management, LLC 2007 Omnibus Equity Incentive Plan (the "Plan") and, in connection with such exercise, the reporting person received one Class A share in exchange for each share option exercised. Represents the number of Class A shares withheld by the issuer at the time of exercise in connection with the satisfaction of the reporting person's obligations for the payment of the exercise price. Reported amount includes 1,937,500 restricted share units ("RSUs") granted under the 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. Subject to accelerated vesting in certain circumstances, 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. These Class A shares are held by the Marc and Diane Spilker Foundation, a not-for-profit tax exempt organization for which the reporting person and his spouse are trustees with investment power. The reporting person disclaims beneficial ownership of the Class A shares held in the foundation, except to the extent of his pecuniary interest therein. These Class A shares are held in The Marc A. Spilker 2000 Family Trust, for the benefit of the reporting person's children, of which one of the reporting person's immediate family members is trustee and has investment power. The reporting person disclaims beneficial ownership of the Class A shares held in the trust, except to the extent of his pecuniary interest therein. The conversion price set forth above is on a per share basis. Subject to accelerated vesting in certain circumstances, the share option vested and became exercisable with respect to 833,333 shares on December 31, 2011 and, thereafter, continued to vest and become exercisable with respect to the balance of the grant in equal quarterly installments of 208,333 (or 208,334) Class A shares from March 31, 2012 through December 31, 2016, provided the reporting person remains in service through the applicable vesting date. Primarily consists of Class A shares sold by the reporting person in order to satisfy the minimum tax withholding obligations arising in connection with the delivery of Class A shares underlying the Options exercised. /s/ Marc Spilker 2014-02-13