Case File
efta-efta00623716DOJ Data Set 9OtherAPOLLO GLOBAL MANAGEMENT LLC (APO)
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DOJ Data Set 9
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efta-efta00623716
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APOLLO GLOBAL MANAGEMENT LLC (APO)
4
Statement of changes in beneficial ownership of securities
Filed on 05/18/2012
Filed Period 05/16/2012
THOMSON REUTERS ACCELUS'"
THOMSON REUTERS
EFTA00623716
SEC Form 4
•
FORM 4
Cheek this box it no longer subpoi to Seder' 16.
Form 4 or Form 5 eisigabons may continue. See
InstruCton 1(b).
(Print or Type Responses)
1. Name and Address of Reporting Person'
DUCEY MICHAEL E
2. Issuer Name and Ticker or Trading
Symbol
Apollo Global Management LLC [ APO I
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X
Director
I0% Owner
Officer (give title below)
Other (specify below)
(Last)
(First)
(Middle)
C/O APOLLO GLOBAL MANAGEMENT, LLC
9 WEST 57TH STREET, 43RD FLOOR
3.
D
ay/Year)
Date of Earliest Transaction (Month/
05/16/2012
(Street)
NEW YORK
NY
10019
4. If Amendment, Date of Original Filed
(Month/DayNear)
6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting Person
(City}
(State)
(Zip)
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 3)
2. Transaction Date
(Month/Day/Year)
2A. Deemed
Execution Date, if
any (MonthiDay/
Year)
3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or
Disposed Of (D) (Inst . 3, 4 and
5)
5. Amount
of Securities
Beneficially Owned
Following Reported
Transaction(s)
(Instr. 3 and 4)
6. Ownership Form:
Direct (D) or Indirect
(I) (Instr. 4)
7. Nature of
Indirect Beneficial
Ownership (Instr. 4)
Code
V
Amount
(A) or (D) Price
Class A Shares
05/16/2012
P
600
A
$11 .61
19,143(1)
D
Class A Shares
05/16/2012
P
452
A
$11.62
19,59511)
D
Class A Shares
05/16/2012
P
100
A
$11.63
19,695(1)
D
Class A Shares
05/16/2012
P
600
A
$11.65
20,295(1)
D
Class A Shares
05/16/2012
P
500
A
$11.66
20,795(1)
D
Class A Shares
05/16/2012
P
1,848
A
$11.67
22,643(1)
D
Class A Shares
05/16/2012
P
200
A
$11.68
22,843(1)
D
Table II - Derivat ve Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of
Derivative Security
(Instr. 3)
2.
Conversion
or Exercise
Price of
3.
Transaction
Date
3A. Deemed
Execution
Date, if any
4.
Transaction
Code (Instr.
8)
5. Number
of Derivative
Securities
Acquired (A) or
6. Date Exercisable and
Expiration Date (Month/
Day/Year)
7. Title and Amount of
Securities Underlying
Derivative Security (Instr.
3 and 4)
8. Price of
Derivative
Security
(Instr. 5)
9. Number
of derivative
Securities
Beneficially
10.
Ownership
Form:
Direct (D) or
11. Nature
of Indirect
Beneficial
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington. D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934. Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:
Estimated average
burden hours per
response:
3235.0287
0.5
EFTA00623717
[eporting
Derivative
Security
(Month/Day/
Year)
(Month/Day!
Year)
Disposed of (D)
(Instr. 3, 4 and 5)
Owned
Following
Reported
Transaction(s)
(Instr. 4)
Indirect (I)
(Instr. 4)
Ownership
(Instr. 4)
Code V
(A)
(D)
Date
Exercisable
Expiration
Date
Title
Amount or
Number of
Shares
Owners
Reporting Owner Name / Address
Relationships
Director
10%
Owner
Officer
Other
DUCEY MICHAEL E
C/O APOLLO GLOBAL MANAGEMENT.
U_C
9 WEST 57TH STREET, 43RD FLOOR
X
Explanation of esponses:
1. Reported smart includes 18,543 restricted share units ("RSUC) granted under the Apollo Global Managemen LLC 2007 Omnibus Equity Incentive Plan. Each RSU represents the contingent right to receive one Class A share for each vested RSU.
Subject to accelerated vesting in certain circumstances. the RSUs vest M installments in accordance with the terms of the applicable RSU award agreement by and between the reporting person and the issuer. provided the reporting person remains in
service through the applicable vesting date.
Signatures
/s/ Jessica Lomm• as attorneyin•fact
05/18/2012
Signature of Reporting Person
Date
Reminder: Report on a separate lire for each class el securities beneficially caned dreely or indrezdf.
Ole lemonRed by mole Man one reportng person. see Inslfoctron 5 (0)(el
** 'Manama, misstatements or omissions of (ads consberle Federal Criminal Violations See is U.S.C. 1001 and 15 U.S.C. 78if Is;
Note: Fee Mtge copies of the Form one ot whch must be manually signed II space Is Insuberem. see Instruction 6 for procedure
Persons who respond to the collection of information contained in this kiln, are not required to respond trawls the form displays a currently valid 0418 Number.
EFTA00623718
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