Filing Details

Accession Number:
0001127602-19-032912
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-11-15 19:19:58
Reporting Period:
2019-11-14
Accepted Time:
2019-11-15 19:19:58
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1527469 Athene Holding Ltd ATH Life Insurance (6311) 980630022
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1689345 Lauren Frank Gillis C/o Athene Holding Ltd., Chesney House,
First Floor, 96 Pitts Bay Road
Pembroke D0 HM08
See Remarks No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Shares Acquisiton 2019-11-14 7,600 $10.00 7,600 No 4 M Indirect by Gillis Family Trust U/a/d 12/30/14
Class A Common Shares Acquisiton 2019-11-14 1,900 $10.00 1,900 No 4 M Indirect by The Anne E Fowler Foundation, Inc.
Class A Common Shares Disposition 2019-11-14 10,000 $43.89 137,817 No 4 S Direct
Class A Common Shares Disposition 2019-11-14 7,600 $43.89 0 No 4 S Indirect by Gillis Family Trust U/a/d 12/30/14
Class A Common Shares Disposition 2019-11-14 1,900 $43.89 0 No 4 S Indirect by The Anne E Fowler Foundation, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Indirect by Gillis Family Trust U/a/d 12/30/14
No 4 M Indirect by The Anne E Fowler Foundation, Inc.
No 4 S Direct
No 4 S Indirect by Gillis Family Trust U/a/d 12/30/14
No 4 S Indirect by The Anne E Fowler Foundation, Inc.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Class A Common Shares Class M-1 Common Shares Disposition 2019-11-14 7,600 $0.00 7,600 $10.00
Class A Common Shares Class M-1 Common Shares Disposition 2019-11-14 1,900 $0.00 1,900 $10.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
300,000 No 4 M Indirect
0 No 4 M Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Shares 20,000 Indirect By Ira
Footnotes
  1. Anne Marie Heiser is trustee of the Gillis Family Trust u/a/d 12/30/14.
  2. 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.
  3. 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 December 13, 2018.
  4. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.58 to $44.05 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 this footnote.
  5. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.58 to $44.06 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 this footnote.
  6. 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).
  7. 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.