0001127602-18-028455.txt : 20180927
0001127602-18-028455.hdr.sgml : 20180927
20180927162222
ACCESSION NUMBER: 0001127602-18-028455
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180314
FILED AS OF DATE: 20180927
DATE AS OF CHANGE: 20180927
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Gillis Frank Lauren
CENTRAL INDEX KEY: 0001689345
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37963
FILM NUMBER: 181091195
MAIL ADDRESS:
STREET 1: C/O ATHENE HOLDING LTD.
STREET 2: CHESNEY HOUSE, 96 PITTS BAY ROAD
CITY: PEMBROKE
STATE: D0
ZIP: HM08
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Athene Holding Ltd
CENTRAL INDEX KEY: 0001527469
STANDARD INDUSTRIAL CLASSIFICATION: LIFE INSURANCE [6311]
IRS NUMBER: 980628973
STATE OF INCORPORATION: D0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 96 PITTS BAY ROAD
CITY: PEMBROKE
STATE: D0
ZIP: HM08
BUSINESS PHONE: 441-279-8400
MAIL ADDRESS:
STREET 1: 96 PITTS BAY ROAD
CITY: PEMBROKE
STATE: D0
ZIP: HM08
4
1
form4.xml
PRIMARY DOCUMENT
X0306
4
2018-03-14
0001527469
Athene Holding Ltd
ATH
0001689345
Gillis Frank Lauren
C/O ATHENE HOLDING LTD., CHESNEY HOUSE,
FIRST FLOOR, 96 PITTS BAY ROAD
PEMBROKE
D0
HM08
BERMUDA
1
See Remarks
Class A Common Shares
2018-08-08
5
G
0
E
4300
0
D
289638
D
Class A Common Shares
2018-09-25
4
M
0
23636
10.00
A
23636
I
by Gillis Family Trust U/a/d 12/30/14
Class A Common Shares
2018-09-25
4
M
0
5909
10.00
A
5909
I
by The Anne E Fowler Foundation, Inc.
Class A Common Shares
2018-09-25
4
S
0
70455
51.7077
D
219183
D
Class A Common Shares
2018-09-25
4
S
0
23636
51.7029
D
0
I
by Gillis Family Trust U/a/d 12/30/14
Class A Common Shares
2018-09-25
4
S
0
5909
51.7077
D
0
I
by The Anne E Fowler Foundation, Inc.
Class A Common Shares
20000
I
By Ira
Class M-1 Common Shares
10.00
2018-03-14
5
G
0
E
25000
0
D
Class A Common Shares
25000
617735
D
Class M-1 Common Shares
10.00
2018-03-14
5
G
0
E
25000
0
A
Class A Common Shares
25000
25000
I
by The Anne E Fowler Foundation, Inc.
Class M-1 Common Shares
10.00
2018-09-25
4
M
0
23636
0
D
Class A Common Shares
23636
376364
I
By Gillis Family Trust U/a/d 12/30/14
Class M-1 Common Shares
10.00
2018-09-25
4
M
0
5909
0
D
Class A Common Shares
5909
19091
I
by The Anne E Fowler Foundation, Inc.
Anne Marie Heiser is trustee of the Gillis Family Trust u/a/d 12/30/14.
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.
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 March 15, 2018.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.34 to $52.29, 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 footnote (4) to this Form 4.
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.34 to $52.16, 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 footnote (5) to this Form 4.
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).
On March 14, 2018, the Reporting Person gifted 25,000 Class M-1 common shares to The Anne E. Fowler Foundation, Inc. The Anne E. Fowler Foundation, Inc. is controlled by the Reporting Person's spouse. The reported transaction was a gift for which no payment or consideration was received by the Reporting Person.
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.
EVP - ATH and Chief Executive Officer - ALRe; Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 9, 2016)
/s/ Ira Rosenblatt, attorney-in-fact
2018-09-27