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