0001104659-17-070208.txt : 20171122 0001104659-17-070208.hdr.sgml : 20171122 20171122163400 ACCESSION NUMBER: 0001104659-17-070208 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20171122 DATE AS OF CHANGE: 20171122 GROUP MEMBERS: AAA ASSOCIATES, L.P. GROUP MEMBERS: AAA GUARANTOR - CO-INVEST VII, L.P. GROUP MEMBERS: AAA INVESTMENTS (CO-INVEST VII), L.P. GROUP MEMBERS: AAA MIP LTD GROUP MEMBERS: AAM GP, LTD. GROUP MEMBERS: AIF VI EURO HOLDINGS, L.P. GROUP MEMBERS: AIF VI MANAGEMENT, LLC GROUP MEMBERS: AIF VI NCL (AIV II), L.P. GROUP MEMBERS: AIF VI NCL (AIV III), L.P. GROUP MEMBERS: AIF VI NCL (AIV IV), L.P. GROUP MEMBERS: AIF VI NCL (AIV), L.P. GROUP MEMBERS: AIF VII EURO HOLDINGS, L.P. GROUP MEMBERS: AIF VII MANAGEMENT, LLC GROUP MEMBERS: APOLLO ADVISORS VI (EH), L.P. GROUP MEMBERS: APOLLO ADVISORS VI (EH-GP), LTD. GROUP MEMBERS: APOLLO ADVISORS VI, L.P. GROUP MEMBERS: APOLLO ADVISORS VII (EH), L.P. GROUP MEMBERS: APOLLO ADVISORS VII (EH-GP) LTD. GROUP MEMBERS: APOLLO ALTERNATIVE ASSETS, L.P. GROUP MEMBERS: APOLLO CAPITAL MANAGEMENT GP, LLC GROUP MEMBERS: APOLLO CAPITAL MANAGEMENT VI, LLC GROUP MEMBERS: APOLLO CAPITAL MANAGEMENT, L.P. GROUP MEMBERS: APOLLO INTERNATIONAL MANAGEMENT GP, LLC GROUP MEMBERS: APOLLO INTERNATIONAL MANAGEMENT, L.P. GROUP MEMBERS: APOLLO LIFE ASSET LTD. GROUP MEMBERS: APOLLO MANAGEMENT GP, LLC GROUP MEMBERS: APOLLO MANAGEMENT HOLDINGS, L.P. GROUP MEMBERS: APOLLO MANAGEMENT VI, L.P. GROUP MEMBERS: APOLLO MANAGEMENT VII, L.P. GROUP MEMBERS: APOLLO MANAGEMENT, L.P. GROUP MEMBERS: APOLLO OVERSEAS PARTNERS (DELAWARE 892) VI, L.P. GROUP MEMBERS: APOLLO OVERSEAS PARTNERS (DELAWARE) VI, L.P. GROUP MEMBERS: APOLLO OVERSEAS PARTNERS (GERMANY) VI, L.P. GROUP MEMBERS: APOLLO OVERSEAS PARTNERS VI, L.P. GROUP MEMBERS: APOLLO PRINCIPAL HOLDINGS I GP, LLC GROUP MEMBERS: APOLLO PRINCIPAL HOLDINGS I, L.P. GROUP MEMBERS: APOLLO PRINCIPAL HOLDINGS III GP, LTD. GROUP MEMBERS: APOLLO PRINCIPAL HOLDINGS III, L.P. GROUP MEMBERS: ATHENE ANNUITY & LIFE ASSURANCE CO GROUP MEMBERS: ATHENE ANNUITY & LIFE CO GROUP MEMBERS: ATHENE ASSET MANAGEMENT, L.P. GROUP MEMBERS: ATHENE HOLDING LTD. GROUP MEMBERS: ATHENE LIFE RE LTD. GROUP MEMBERS: ATHENE USA CORP GROUP MEMBERS: NCL ATHENE LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Norwegian Cruise Line Holdings Ltd. CENTRAL INDEX KEY: 0001513761 STANDARD INDUSTRIAL CLASSIFICATION: WATER TRANSPORTATION [4400] IRS NUMBER: 980691007 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87191 FILM NUMBER: 171220303 BUSINESS ADDRESS: STREET 1: 7665 CORPORATE DRIVE CITY: MIAMI STATE: FL ZIP: 33126 BUSINESS PHONE: 305-436-4000 MAIL ADDRESS: STREET 1: 7665 CORPORATE DRIVE CITY: MIAMI STATE: FL ZIP: 33126 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Apollo Management Holdings GP, LLC CENTRAL INDEX KEY: 0001449433 IRS NUMBER: 208351017 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-515-3200 MAIL ADDRESS: STREET 1: 9 W. 57TH STREET STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SC 13D/A 1 a17-27450_1sc13da.htm SC 13D/A

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 


 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934
(Amendment No. 13)*

 

Norwegian Cruise Line Holdings Ltd.

(Name of Issuer)

 

Ordinary Shares, par value $0.001

(Title of Class of Securities)

 

G66721 10 4

(CUSIP Number)

 

John F. Hartigan, Esq.

Morgan, Lewis & Bockius LLP

300 S. Grand Avenue, 22nd Floor

Los Angeles, CA 90071

(213) 612-2500

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

November 20, 2017

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.

The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
NCL Athene LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
OO

 

2



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene Life Re Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Bermuda

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
IC

 

3



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene Annuity and Life Company

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Iowa

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
IC

 

4



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene Annuity and Life Assurance Company

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
IC

 

5



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene USA Corporation

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Iowa

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
HC

 

6



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene Holding Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Bermuda

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
HC

 

7



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Athene Asset Management, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
IA

 

8



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AAM GP, Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
CO

 

9



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Life Asset Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
CO

 

10



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Capital Management, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
PN

 

11



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Capital Management GP, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,570,189 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,570,189 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
OO

 

12



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AAA Associates, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Guernsey

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
0 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,671,882 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
1.2%

 

 

14

Type of Reporting Person
PN

 

13



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI NCL (AIV), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,337,219 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,438,912 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,337,219 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.9%

 

 

14

Type of Reporting Person
PN

 

14



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI NCL (AIV II), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,364,325 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,466,018 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,364,325 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.9%

 

 

14

Type of Reporting Person
PN

 

15



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI NCL (AIV III), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,308,607  shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,410,300 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,308,607 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.9%

 

 

14

Type of Reporting Person
PN

 

16



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI NCL (AIV IV), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,304,696 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,406,389 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,304,696 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.9%

 

 

14

Type of Reporting Person
PN

 

17



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Overseas Partners VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,592,239 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,693,932 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,592,239 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
PN

 

18



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Overseas Partners (Delaware) VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,012,502 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,114,195 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,012,502 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.3%

 

 

14

Type of Reporting Person
PN

 

19



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Overseas Partners (Delaware 892) VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
20,619,167 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,720,860 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
20,619,167 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.0%

 

 

14

Type of Reporting Person
PN

 

20



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Overseas Partners (Germany) VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,932,433 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
34,126 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,932,433 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
PN

 

21



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI Euro Holdings, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
22,676,917 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
4,778,610 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
22,676,917 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
9.9%

 

 

14

Type of Reporting Person
PN

 

22



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VII Euro Holdings, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,626,516 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,728,209 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,626,516 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.6%

 

 

14

Type of Reporting Person
PN

 

23



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AAA Guarantor - Co-Invest VII, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Guernsey

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,910,739 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
12,432 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,910,739 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
PN

 

24



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AAA Investments (Co-Invest VII), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,910,739 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
12,432 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,910,739 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
PN

 

25



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AAA MIP Limited

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Guernsey

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
0 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,671,882 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
2,671,882 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
1.2%

 

 

14

Type of Reporting Person
CO

 

26



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Alternative Assets, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,910,949 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,684,524 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,910,949 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
PN

 

27



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo International Management, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,910,949 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,684,524 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,910,949 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
PN

 

28



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo International Management GP, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
17,910,949 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
2,684,524 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
17,910,949 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
7.8%

 

 

14

Type of Reporting Person
OO

 

29



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Advisors VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
24,461,420 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
6,563,113 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
24,461,420 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
10.7%

 

 

14

Type of Reporting Person
PN

 

30



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Capital Management VI, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
24,461,420 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
6,563,113 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
24,461,420 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
10.7%

 

 

14

Type of Reporting Person
OO

 

31



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Principal Holdings I, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
24,461,420 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
6,563,113 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
24,461,420 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
10.7%

 

 

14

Type of Reporting Person
PN

 

32



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Principal Holdings I GP, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
24,461,420 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
6,563,113 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
24,461,420 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
10.7%

 

 

14

Type of Reporting Person
OO

 

33



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Advisors VI (EH), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
32,398,536 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
14,500,229 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
32,398,536 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
14.2%

 

 

14

Type of Reporting Person
PN

 

34



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Advisors VI (EH-GP), Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
32,398,536 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
14,500,229 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
32,398,536 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
14.2%

 

 

14

Type of Reporting Person
OO

 

35



 

CUSIP No. G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Advisors VII (EH), L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,626,516 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,728,209 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,626,516 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.6%

 

 

14

Type of Reporting Person
PN

 

36



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Advisors VII (EH-GP) Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,626,516 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,728,209 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,626,516 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.6%

 

 

14

Type of Reporting Person
OO

 

37



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Principal Holdings III, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
34,126,745 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
16,228,438 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
34,126,745 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
14.9%

 

 

14

Type of Reporting Person
PN

 

38



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Principal Holdings III GP, Ltd.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Cayman Islands

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
34,126,745 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
16,228,438 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
34,126,745 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
14.9%

 

 

14

Type of Reporting Person
OO

 

39



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management VI, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     x

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
38,963,676 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
21,065,369 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
38,963,676 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
17.0%

 

 

14

Type of Reporting Person
PN

 

40



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VI Management, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
38,963,676 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
21,065,369 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
38,963,676 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
17.0%

 

 

14

Type of Reporting Person
OO

 

41



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management VII, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     x

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,627,196 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,728,889 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,627,196 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.6%

 

 

14

Type of Reporting Person
PN

 

42



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
AIF VII Management, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
19,627,196 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
1,728,889 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
19,627,196 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
8.6%

 

 

14

Type of Reporting Person
OO

 

43



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
40,692,565 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
22,794,258 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40,692,565 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
17.8%

 

 

14

Type of Reporting Person
PN

 

44



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management GP, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
40,692,565 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
22,794,258 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40,692,565 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   x

 

 

13

Percent of Class Represented by Amount in Row (11)
17.8%

 

 

14

Type of Reporting Person
OO

 

45



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management Holdings, L.P.

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
43,377,089 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
25,478,782 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
43,377,089 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   o

 

 

13

Percent of Class Represented by Amount in Row (11)
19.0%

 

 

14

Type of Reporting Person
PN

 

46



 

CUSIP No.   G66721 10 4

13D

 

 

 

1

Name of Reporting Person
I.R.S. Identification of Above Person
Apollo Management Holdings GP, LLC

 

 

2

Check the Appropriate Box if a Member of a Group

 

 

(a)

 o

 

 

(b)

 o

 

 

3

SEC Use Only

 

 

4

Source of Funds
OO

 

 

5

Check Box if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Delaware

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power

 

8

Shared Voting Power
40,692,565 shares of Ordinary Shares

 

9

Sole Dispositive Power

 

10

Shared Dispositive Power
22,794,258 shares of Ordinary Shares

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
40,692,565 shares of Ordinary Shares

 

 

12

Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares*   o

 

 

13

Percent of Class Represented by Amount in Row (11)
17.8%

 

 

14

Type of Reporting Person
OO

 

47



 

This Amendment No. 13 to Schedule 13D is filed by: (i) NCL Athene LLC, a Delaware limited liability company (“NCL Athene”); (ii) Athene Life Re Ltd., a Bermuda reinsurance company (“ALRe”); (iii) Athene Annuity and Life Company, an Iowa corporation (“AALC”); (iv) Athene Annuity & Life Assurance Company, a Delaware corporation (“AALA”); (v) Athene USA Corporation, an Iowa corporation (“AUSA”); (vi) Athene Holding Ltd., a Bermuda exempted company (“Athene Holding”); (vii) Athene Asset Management, L.P., an exempted limited partnership registered in the Cayman Islands (“AAM”); (viii) AAM GP Ltd., an exempted company incorporated in the Cayman Islands with limited liability (“AAM GP”); (ix) Apollo Life Assets Ltd., an exempted company incorporated in the Cayman Islands with limited liability (“Apollo Life”); (x) Apollo Capital Management, L.P., a Delaware limited partnership (“Capital Management”); (xi) Apollo Capital Management GP, LLC, a Delaware limited liability company (“Capital Management GP”); (xii) AAA Associates, L.P., a Guernsey limited partnership (“AAA Associates”); (xiii) AIF VI NCL (AIV), L.P., an exempted limited partnership registered in the Cayman Islands (“AIF VI NCL”); (xiv) AIF VI NCL (AIV II), L.P., an exempted limited partnership registered in the Cayman Islands (“NCL (AIV II)”); (xv) AIF VI NCL (AIV III), L.P., an exempted limited partnership registered in the Cayman Islands (“NCL (AIV III)”); (xvi) AIF VI NCL (AIV IV), L.P., an exempted limited partnership registered in the Cayman Islands (“NCL (AIV IV)”); (xvii) Apollo Overseas Partners VI, L.P., an exempted limited partnership registered in the Cayman Islands (“Overseas VI”); (xviii) Apollo Overseas Partners (Delaware) VI, L.P., a Delaware limited partnership (“Overseas Delaware”); (xix) Apollo Overseas Partners (Delaware 892) VI, L.P., a Delaware limited partnership (“Overseas 892”); (xx) Apollo Overseas Partners (Germany) VI, L.P., an exempted limited partnership registered in the Cayman Islands (“Overseas Germany”); (xxi) AIF VI Euro Holdings, L.P., an exempted limited partnership registered in the Cayman Islands (“AIF VI Euro”); (xxii) AIF VII Euro Holdings, L.P., an exempted limited partnership registered in the Cayman Islands (“AIF VII Euro”); (xxiii) AAA MIP Limited, a limited company incorporated in Guernsey (“AAA MIP”); (xxiv) AAA Guarantor — Co-Invest VII, L.P., a Guernesy limited partnership (“Co-Invest VII”); (xxv) AAA Investments (Co-Invest VII), L.P., a Delaware limited partnership (“AAA Investments”); (xxvi) Apollo Alternative Assets, L.P., an exempted limited partnership registered in the Cayman Islands (“Alternative Assets”); (xxvii) Apollo International Management, L.P., a Delaware limited partnership (“Intl Management”); (xxviii) Apollo International Management GP, LLC, a Delaware limited liability company (“International GP”); (xxix) Apollo Advisors VI, L.P., a Delaware limited partnership (“Advisors VI”); (xxx) Apollo Capital Management VI, LLC, a Delaware limited liability company (“ACM VI”); (xxxi) Apollo Principal Holdings I, L.P., a Delaware limited partnership (“Principal I”); (xxxii) Apollo Principal Holdings I GP, LLC, a Delaware limited liability company (“Principal I GP”); (xxxiii) Apollo Advisors VI (EH), L.P., an exempted limited partnership registered in the Cayman Islands (“Advisors VI (EH)”); (xxxiv) Apollo Advisors VI (EH-GP), Ltd., an exempted company incorporated in the Cayman Islands with limited liability (“Advisors VI (EH-GP)”); (xxxv) Apollo Advisors VII (EH), L.P., an exempted limited partnership registered in the Cayman Islands (“Advisors VII (EH)”); (xxxvi) Apollo Advisors VII (EH-GP) Ltd, an exempted company incorporated in the Cayman Islands with limited liability (“Advisors VII (EH-GP)”); (xxxvii) Apollo Principal Holdings III, L.P., an exempted limited partnership registered in the Cayman Islands (“Principal III”); (xxxviii) Apollo Principal Holdings III GP, Ltd., an exempted company incorporated in the Cayman Islands with limited liability (“Principal III GP”); (xxxix) Apollo Management VI, L.P., a Delaware limited partnership (“Management VI”); (xl) AIF VI Management, LLC, a Delaware limited liability company (“AIF VI LLC”); (xli) Apollo Management VII, L.P., a Delaware limited partnership (“Management VII”); (xlii) AIF VII Management, LLC, a Delaware limited liability company (“AIF VII LLC”); (xliii) Apollo Management, L.P., a Delaware limited partnership (“Apollo Management”); (xliv) Apollo Management GP, LLC, a Delaware limited liability company (“Management GP”); (xlv) Apollo Management Holdings, L.P., a Delaware limited partnership (“Management Holdings”), and (xlvi) Apollo Management Holdings GP, LLC, a Delaware limited liability company (“Management Holdings GP”), supplements and amends the Statement on Schedule 13D filed on February 4, 2013, Amendment No. 1 to Schedule 13D filed on

 

48



 

August 16, 2013, Amendment No. 2 to Schedule 13D filed on December 11, 2013, Amendment No. 3 to Schedule 13D filed on December 31, 2013, Amendment No. 4 to Schedule 13D filed on March 12, 2014, Amendment No. 5 to Schedule 13D filed on September 5, 2014, Amendment No. 6 to Schedule 13D filed on November 21, 2014, Amendment No. 7 to Schedule 13D filed on May 28, 2015, Amendment No. 8 to Schedule 13D filed on August 18, 2015, Amendment No. 9 to Schedule 13D filed on August 31, 2015, Amendment No. 10 to Schedule 13D filed on December 21, 2015, Amendment No. 11 to Schedule 13D filed on October 11, 2016, and Amendment No. 12 to Schedule 13D filed on August 18, 2017 with respect to the ordinary shares, par value $0.001 (the “Ordinary Shares”), of Norwegian Cruise Line Holdings Ltd. (the “Issuer”).

 

Unless otherwise indicated, capitalized terms used but not otherwise defined herein shall have the meaning assigned to such terms in the Statement on Schedule 13D filed on February 4, 2013, as amended.

 

Responses to each item of this Amendment No. 13 to Schedule 13D are incorporated by reference into the response to each other item, as applicable.

 

Item 1.         Security and Issuer

 

Item 2.         Identity and Background

 

Item 2 is hereby amended by replacing the second, third, and fourth paragraphs thereof in their entirety with the following:

 

The address for NCL Athene, Athene Holding and ALRe is 96 Pitts Bay Road, Pembroke, Bermuda HM08. The address for Co-Invest VII, AAA Associates and AAA MIP is Trafalgar Court, Les Banques, GY1 3QL, St. Peter Port, Guernsey, Channel Islands.  The address for each of Overseas Delaware, Overseas 892, AAA Investments, Advisors VI, ACM VI, Principal I and Principal I GP is One Manhattanville Road, Suite 201, Purchase, New York 10577.  The address for each of AAM, AAM GP, Apollo Life, AIF VI NCL, NCL (AIV II), NCL (AIV III), NCL (AIV IV), Overseas VI, Overseas Germany, AIF VI Euro, AIF VII Euro, Alternative Assets, Advisors VI (EH), Advisors VII (EH), Advisors VII (EH GP), Principal III and Principal III GP is c/o Walkers Corporate Limited, Cayman Corporate Centre, 27 Hospital Road, George Town, Grand Cayman KY1-9008, Cayman Islands.  The address for Advisors VI (EH GP) is c/o Intertrust Corporate Services (Cayman) Limited, 190 Elgin Street, George Town, KY1-9005 Grand Cayman, Cayman Islands. The address for AALA, AALC and AUSA is 7700 Mills Civic Parkway, West Des Moines, Iowa 50266. The address for each of Capital Management, Capital Management GP, Intl Management, International GP, Management VI, AIF VI LLC, Management VII, AIF VII LLC, Apollo Management, Management GP, Management Holdings and Management Holdings GP, and Messrs. Black, Harris and Rowan, is 9 West 57th Street, 43rd Floor, New York, New York 10019.

 

Item 3.         Source and Amount of Funds or Other Consideration

 

Item 4.         Purpose of Transaction

 

Item 5.         Interest in Securities of the Issuer

 

Item 5 is hereby amended and supplemented as follows:

 

On November 15, 2017, NCL Athene, AIF VI NCL, NCL (AIV II), NCL (AIV III), NCL (AIV IV), Overseas VI, Overseas Delaware, Overseas 892, Overseas Germany, AIF VI Euro, AIF VII Euro, Co-

 

49



 

Invest VII, Alternative Assets, Management VI and Management VII (collectively, the “Apollo Holders”) sold an aggregate of 5,000,000 Ordinary Shares pursuant to an underwritten offering (the “Offering”), as described in the Issuer’s Rule 424(b)(7) final prospectus supplement (File No. 333-216441) filed with the Securities and Exchange Commission on November 15, 2017, and the underwriting agreement dated as of November 15, 2017 (the “Underwriting Agreement”), among the Issuer, the Apollo Holders and Star NCLC Holdings Ltd. as selling shareholders, and Morgan Stanley & Co. LLC as the underwriter.  Following the sale of the Ordinary Shares by the Apollo Holders, the Apollo Holders are the record holders of an aggregate of 25,478,782 Ordinary Shares.

 

Following the Offering, the Apollo Holders may be deemed to beneficially own an aggregate of 38,377,089 Ordinary Shares, which includes the Ordinary Shares held of record by the Apollo Holders and the Ordinary Shares held by the Genting HK Entities (as a result of the Apollo Holders’ rights under the Shareholders Agreement regarding voting of those shares), and represents approximately 16.8% of the Issuer’s outstanding Ordinary Shares.

 

The Ordinary Shares reported as beneficially owned by each Reporting Person includes only those shares over which such person may be deemed to have voting or dispositive power.  Only Management Holdings and Management Holdings GP report beneficial ownership of all of the Ordinary Shares owned of record by the Apollo Holders.  Each of the Reporting Persons disclaims beneficial ownership of all of the Ordinary Shares included in this report, and the filing of this report shall not be construed as an admission that any such person or entity is the beneficial owner of any such securities for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

 

(a)                                 See also the information contained on the cover pages of this Amendment No. 13 to Schedule 13D, which is incorporated herein by reference.  The percentage of Ordinary Shares beneficially owned by each Reporting Person is based on 228,463,930 outstanding Ordinary Shares as of October 31, 2017, as disclosed by the Issuer in the Rule 424(b)(7) final prospectus supplement (File No. 333-216441) filed with the Securities and Exchange Commission on November 15, 2017.

 

(b)                                 See the information contained on the cover pages of this Amendment No. 13 to Schedule 13D, which is incorporated herein by reference.

 

(c)                                  Other than as discussed above, there have been no reportable transactions with respect to the Ordinary Shares of the Issuer within the last 60 days by the Reporting Persons.

 

(d)                                 Not applicable.

 

(e)                                  Not applicable.

 

Item 6.         Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

Item 6 is hereby amended and supplemented as follows:

 

Underwriting Agreement

 

On November 15, 2017, the Issuer, the Apollo Holders and Star NCLC Holdings Ltd. as selling shareholders, and Morgan Stanley & Co. LLC as the underwriter (the “Underwriter”), entered into the Underwriting Agreement with respect to, among other things, the sale by the Apollo Holders of an aggregate of 5,000,000 Ordinary Shares of the Issuer.  Closing of the sale of the Ordinary Shares sold by the Apollo Holders occurred on November 20, 2017.

 

50



 

Lock-up Agreement

 

In connection with the Offering, the Apollo Holders agreed to enter into a lock-up agreement (the “Lock-Up Agreement”) with the Underwriter, pursuant to which the Apollo Holders agreed that for the period beginning on November 15, 2017 and ending on and including December 15, 2017 (the “Lock-Up Period”), except with the prior written consent of the Underwriter, the Apollo Holders would not, among other things and subject to certain exceptions, (i) sell, offer to sell, contract or agree to sell, hypothecate, pledge, grant any option to purchase or otherwise dispose of or agree to dispose of, directly or indirectly, or file (or participate in the filing of) a registration statement with the Securities and Exchange Commission in respect of, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations of the Securities and Exchange Commission promulgated thereunder with respect to, any Ordinary Shares, any other securities of the Issuer that are substantially similar to Ordinary Shares, or any securities convertible into or exchangeable or exercisable for, or any warrants or other rights to purchase or subscribe for, the foregoing (collectively, the “Lock-Up Securities”); (ii) enter into any swap or other agreement that transfers to another, in whole or in part, any of the economic consequences of ownership of the Lock-Up Securities, whether any such transaction is to be settled by delivery of Ordinary Shares or such other securities, in cash or otherwise; or (iii) publicly announce an intention to effect any transaction specified in clause (i) or (ii).

 

The summary of the Underwriting Agreement and the Lock-Up Agreement as described in this Item 6 do not purport to be complete and are qualified in their entirety by reference to such agreement, which are attached to this Amendment No. 13 to Schedule 13D as Exhibit 1 and Exhibit 2, respectively, and are incorporated herein by reference.

 

Item 7.         Material to Be Filed as Exhibits

 

Exhibit 1:                   Underwriting Agreement dated November 15, 2017, by and among the Issuer, Morgan Stanley & Co. LLC and each selling shareholder named therein (incorporated by reference to Exhibit 1.1 to the Current Report on Form 8-K (File No. 001-35784) filed by the Issuer with the Securities and Exchange Commission on November 17, 2017)

 

Exhibit 2:                   Form of Lock-Up Agreement by and between Morgan Stanley & Co. LLC and each of the Apollo Holders (incorporated by reference to Exhibit A to the Underwriting Agreement filed as Exhibit 1.1 to the Current Report on Form 8-K (File No. 001-35784) filed by the Issuer with the Securities and Exchange Commission on November 17, 2017)

 

51



 

SIGNATURES

 

After reasonable inquiry and to the best knowledge and belief of each of the undersigned, each of the undersigned certifies that the information set forth in this statement with respect to such person is true, complete and correct.

 

Dated:  November 22, 2017

 

 

NCL ATHENE LLC

 

 

 

By:

Athene Annuity and Life Company,

 

 

its Class A member

 

 

 

 

By:

/s/ John L. Golden

 

 

Name: John L. Golden

 

 

Title: Executive Vice President, Legal

 

 

 

ATHENE LIFE RE LTD.

 

 

 

By:

/s/ Adam Laing

 

Name: Adam Laing

 

Title: Chief Financial Officer

 

 

 

ATHENE ANNUITY AND LIFE COMPANY

 

 

 

By:

/s/ John L. Golden

 

Name: John L. Golden

 

Title: Executive Vice President, Legal

 

 

 

ATHENE ANNUITY AND LIFE ASSURANCE COMPANY

 

 

 

By:

/s/ John L. Golden

 

Name: John L. Golden

 

Title: Executive Vice President, Legal

 

 

 

ATHENE USA CORPORATION

 

 

 

By:

/s/ John L. Golden

 

Name: John L. Golden

 

Title: Executive Vice President, Legal

 

 

 

ATHENE HOLDING LTD.

 

 

 

By:

/s/ John L. Golden

 

Name: John L. Golden

 

Title: Executive Vice President, Legal

 

[Signature Page to Schedule 13D Amendment]

 

52



 

 

ATHENE ASSET MANAGEMENT, L.P.

 

 

 

By:

AAM GP Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ Angelo Lombardo

 

 

Name: Angelo Lombardo

 

 

Title:

Senior Vice President, General Counsel and Secretary

 

 

 

AAM GP LTD.

 

 

 

By:

/s/ Angelo Lombardo

 

Name: Angelo Lombardo

 

Title: Senior Vice President, General Counsel and Secretary

 

 

 

APOLLO LIFE ASSET LTD.

 

 

 

By:

/s/ Cindy Michel

 

Name: Cindy Michel

 

Title: Vice President

 

 

 

APOLLO CAPITAL MANAGEMENT, L.P.

 

 

 

By:

Apollo Capital Management GP, LLC

 

 

its general partner

 

 

 

 

 

By:

/s/ Cindy Michel

 

 

Name: Cindy Michel

 

 

Title: Vice President

 

 

 

APOLLO CAPITAL MANAGEMENT GP, LLC

 

 

 

By:

/s/ Cindy Michel

 

Name: Cindy Michel

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

53



 

 

AAA ASSOCIATES, L.P.

 

 

 

By:

AAA MIP Limited

 

 

its general partner

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

 

its service provider

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

Name: Laurie D. Medley

 

 

 

 

Title: Vice President

 

 

 

AAA MIP LIMITED

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its investment manager

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

By:

Apollo International Management GP, LLC,

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

54



 

 

AAA GUARANTOR - CO-INVEST VII, L.P.

 

 

 

By:

AAA Investments (Co-Invest VII), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

 

its investment manager

 

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

 

its general partner

 

 

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

 

Name: Laurie D. Medley

 

 

 

 

Title: Vice President

 

 

 

AAA INVESTMENTS (CO-INVEST VII), L.P.

 

 

 

By:

Apollo Alternative Assets, L.P.

 

 

its investment manager

 

 

 

 

 

By:

Apollo International Management, L.P.

 

 

 

its managing general partner

 

 

 

 

 

 

By:

Apollo International Management GP, LLC,

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

APOLLO ALTERNATIVE ASSETS, L.P.

 

 

 

By:

Apollo International Management, L.P.

 

 

its managing general partner

 

 

 

 

 

 

By:

Apollo International Management GP, LLC

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

55



 

 

APOLLO INTERNATIONAL MANAGEMENT, L.P.

 

 

 

By:

Apollo International Management GP, LLC

 

 

its general partner

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name: Laurie D. Medley

 

 

Title: Vice President

 

 

 

APOLLO INTERNATIONAL MANAGEMENT GP, LLC

 

 

 

By:

/s/ Laurie D. Medley

 

Name: Laurie D. Medley

 

Title: Vice President

 

 

 

 

AIF VI NCL (AIV), L.P.

 

 

 

By:

Apollo Advisors VI (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

AIF VI NCL (AIV II), L.P.

 

 

 

By:

Apollo Advisors VI (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

56



 

 

AIF VI NCL (AIV III), L.P.

 

 

 

By:

Apollo Advisors VI (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

AIF VI NCL (AIV IV), L.P.

 

 

 

By:

Apollo Advisors VI (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

AIF VI EURO HOLDINGS, L.P.

 

 

 

By:

Apollo Advisors VI (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

APOLLO ADVISORS VI (EH), L.P.

 

 

 

By:

Apollo Advisors VI (EH-GP), Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name: Laurie D. Medley

 

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

57



 

 

APOLLO ADVISORS VI (EH-GP), LTD.

 

 

 

By:

/s/ Laurie D. Medley

 

Name: Laurie D. Medley

 

Title: Vice President

 

 

 

AIF VII EURO HOLDINGS, L.P.

 

 

 

By:

Apollo Advisors VII (EH), L.P.

 

 

its general partner

 

 

 

 

 

By:

Apollo Advisors VII (EH-GP), Ltd.

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

APOLLO ADVISORS VII (EH), L.P.

 

 

 

By:

Apollo Advisors VII (EH-GP), Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name: Laurie D. Medley

 

 

Title: Vice President

 

 

 

 

APOLLO ADVISORS VII (EH-GP), LTD.

 

 

 

 

By:

/s/ Laurie D. Medley

 

Name: Laurie D. Medley

 

Title: Vice President

 

 

 

APOLLO PRINCIPAL HOLDINGS III, L.P.

 

 

 

By:

Apollo Principal Holdings III GP, Ltd.

 

 

its general partner

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

Name: Laurie D. Medley

 

 

Title: Vice President

 

[Signature Page to Schedule 13D Amendment]

 

58



 

 

APOLLO PRINCIPAL HOLDINGS III GP, LTD.

 

 

 

By:

/s/ Laurie D. Medley

 

Name: Laurie D. Medley

 

Title: Vice President

 

 

 

APOLLO OVERSEAS PARTNERS VI, L.P.

 

 

 

By:

Apollo Advisors VI, L.P.,

 

 

its managing general partner

 

 

 

 

 

By:

Apollo Capital Management VI, LLC,

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

APOLLO OVERSEAS PARTNERS (DELAWARE) VI, L.P.

 

 

 

By:

Apollo Advisors VI, L.P.,

 

 

its general partner

 

 

 

 

 

By:

Apollo Capital Management VI, LLC,

 

 

 

its general partner

 

 

 

 

 

 

 

By:

/s/ Laurie D. Medley

 

 

 

Name: Laurie D. Medley

 

 

 

Title: Vice President

 

 

 

APOLLO OVERSEAS PARTNERS (DELAWARE 892) VI, L.P.

 

 

 

By:

Apollo Advisors VI, L.P.,

 

 

its general partner