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efta-efta01127986DOJ Data Set 9OtherEDGARbnline
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DOJ Data Set 9
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efta-efta01127986
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APOLLO GLOBAL MANAGEMENT LLC
Reported by
BLACK LEON D
FORM 3
(Initia! Statement of Benefcial Ownership)
Filed 03/29/11 for the Period Ending 03/29/11
Address
9 West 57th Str
new York, NY 10019
Telephone ■
CIK
Symbol
APO
Fiscal Year
12/31
gY EDGA.Ronline
hilp://avav edgar-online.com
O Copyright 2012. EDGAR Online, Inc. M Rights Reserved.
Distribution and use of this document restricted under EDGAR Online. Inc. Terms of Use.
EFTA01127986
FORM 3
UNITED STATES SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
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
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OMB Number: 3235.0104
Expires: February 28, 2011
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hours per response... 0.5
1. Name and Address of Reporting
Person •
BLACK LEON D
2. Date of Event Requiring
Statement
(MM/DD/YYYY)
3/29/2011
3. Issuer Name and Ticker or Trading Symbol
Apollo Global Management LLC WO]
0410
(FS)
(MIddle)
C/O APOLLO GLOBAL
MANAGEMENT, LLC, 9
WEST 57TH STREET, 43RD
FLOOR
4. Relationship of Reporting Person(s)
_x _ Director
X
Meer (gist tide tclow)
Chairman, CEO /
to Issuer
-
X
Id%
Other
(Check all applicable)
Owner
(speeiqr below)
(street)
NEW YORK, NY 10019
(City)
(Stan)
(Zip)
5. If Amendment, Date
Original Filed
(MM/DDNYYY)
6. Individual or Joint/Group Piling (:teat Applicable Line)
_X Perm tiled by One Repotting Person
Form filed by More than One Reporting Person
Table I- Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities
Beneficially Owned
(Instr. 4)
3.
Ownership
Form: Direct
(D) or
Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial
Ownership
(Instr. 5)
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Tide of Derivate Security
(Instr. 4)
2. Date Exercisable
and Expiration Date
tamminvin
3. Title and Amount of
Securities Underlying
Derivative Security
(Instr. 4)
4.
Conversion
or Exercise
Price of
Derivative
Security
5.
Ownership
Form of
Derivative
Security:
Direct (D)
or Indirect
(I)
(Instr. 5)
6. Nature of Indirect
Beneficial Ownership
(Instr. 5)
Date
Exercisable
Expiration
Date
Title
Amount or
Number of
Shares
Apollo Operating Group units
(I )
(1)
Class
A
shares 92727166
(2)
I
By AP Professional
Holdings, L.P. (3)
Explanation of Responses:
( 1) Subject to accelerated vesting in certain circumstances as set Oath in the Agreement Among Principals, dated July 13, 2007, by and
among the reporting person, Marc Rowan and Joshua Harris, the Apollo Operating Group (AOG) units vest in equal monthly
installments of 1,298,022 units through December 31, 2012. Of these units, 64,170,682 units have vested as of the date hereof.
( 2)
Each AOO unit represents a right to receive one Class A share, subject to the restrictions and provisions set forth in the Agreement
Among Principals described in footnote (1) above and the Exchange Agreement, dated July 13, 2007, by and between the Issuer and AP
EFTA01127987
Professional Holdings, L.P.
( 3) The reporting person is a limited partner in BRH Holdings, L.P., which holds 87.80A of the limited partnership interests in AP
Professional Holdings, L.P., the direct holder of the AOG units. The A00 units indirectly held by the reporting person arc the number of
AOG units that he has a right to receive as a limited partner in BRH Holdings, L.P., subject to the restrictions and provisions set forth in
the Agreement Among Principals described in footnote (I) above and the Exchange Agreement described in footnote (2) above.
Remarks:
Exhibit 24 - Power of Attorney
Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Ownerlafficer
Other
BLACK LEON D
CIO APOLLO GLOBAL MANAGEMENT, LLC
9 WEST 57TH STREET, 43RD FLOOR
NEW YORK, NY 10019
X
X
Chairman, CEO
Signatures
/s/ Jessica Lomm, attorney-in-fact
Signamrc of Reponin Person
3/29/2011
Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
If the form is filed by more than one reporting person, see Instruction 5(bXv).
**
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 781f(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently
valid OMB control number.
EFTA01127988
EXHIBIT 24
POWER OF ATTORNEY
FOR SEC FILINGS ON FORMS ID, 3, 4, 5 AND 144
IN RESPECT OF SECURITIES OF
APOLLO GLOBAL MANAGEMENT, LLC
The undersigned hereby constitutes and appoints Jessica Lomm and
John J. Suydam or any one of them acting alone, as his true and lawful
attorney-in-tact and agent, with full power of substitution and resubstitution
for him in his name and stead in any and all capacities, to sign and file for
and on his behalf, in respect of any acquisition, disposition or other change in
ownership of any Class A shares of Apollo Global Management, LLC (the
•Company"), the following:
(i)
any Form ID to be filed with the Securities and Exchange
Commission (the "SEC");
(ii)
any Initial Statement of Beneficial Ownership of Securities on
Form 3 to be filed with the SEC;
(iii)
any Statement of Changes of Beneficial Ownership of Securities
on Form 4 to be filed with the SEC;
(iv)
any Annual Statement of Beneficial Ownership of Securities on
Form 5 to be filed with the SEC;
(v)
any Notice of Proposed Sale of Securities on Form 144 to be
filed with the SEC; and
(vi)
any and all agreements, certificates, receipts, or other
documents in connection therewith.
The undersigned hereby gives full power and authority to the
attorney-in-fact to seek and obtain as the undersigned's representative and on
the undersigned's behalf, information on transactions in the Company's
securities from any third party, including brokers, employee benefit plan
administrators and trustees, and the undersigned hereby authorizes any such
person to release such information to the undersigned and approves and ratifies
any such release of information.
The undersigned hereby grants unto such attorney-in-fact and
agent full power and authority to do and perform each and every act and thing
requisite and necessary in connection with such matters and hereby ratifies and
confirms all that any such attorney-in-fact and agent or substitute may do or
cause to be done by virtue hereof.
The undersigned acknowledges that:
(i)
neither the Company nor such attorney-in-fact assumes (i) any
liability for the undersigned's responsibility to comply with
the requirement of the Securities Exchange Act of 1934, as
amended (the "Exchange Act"), (ii) any liability of the
undersigned for any failure to comply with such requirements or
(iii) any obligation or liability of the undersigned for profit
disgorgement under Section 16(b) of the Exchange Act; and
(ii)
this Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations
under the Exchange Act, including without limitation the
reporting requirements under Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect
EFTA01127989
until revoked by the undersigned in a signed writing delivered to such
attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney.
Date: March 29, 2011
/s/ Leon D. Black
Leon D. Black
Chairman, Chief Executive Officer and
Director
EFTA01127990
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