EDGARbitli tie

EFTA01145915 Dataset 9 5 pages Download original PDF Download as text
EDGARbitli tie 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 0001411494 Symbol APO Fiscal Year 12/31 gY EDGA.Ronline hap/Away edgar-online.com O Copyright 2012. EDGAR Online, Inc. Ni Rights Reserved. Distribution and use of this document restricted under EDGAR Online. Inc. Terms of Use. EFTA01145915 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 OMB APPROVAL OMB Number: 3235.0104 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 1. Name and Address of Reporting Person • BLACK LEON D 2. Date of Event Requiring Statement (MM/DD/YYYY) 3/29/20113. 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 EFTA01145916 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. EFTA01145917 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 EFTA01145918 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 EFTA01145919

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[Image 1] The image shows a document that appears to be a financial statement or report. It is a scanned document with text and tables. The visible text includes the title "Form 3" and the name "United States Securities and Exchange Commission." There are sections titled "Unaudited Condensed Consolidated Financial Statements" and "Management's Discussion and Analysis of Financial Condition and Results of Op [Image 2] The image is a document scan, specifically a page of text. The document appears to be a set of rules or guidelines, possibly related to a financial or legal context, given the references to "Securities" and "Investment Company Act." The text includes numbered sections and subsections, with headings such as "General Provisions," "Registration of Securities," and "Investment Company Act." There are [Image 3] The image shows a document with text, which appears to be a legal or official notice. The document is titled "NOTICE OF PENDING LITIGATION" and is addressed to a named individual. It mentions a case number and provides information about the nature of the litigation. The document includes a section titled "DEMAND FOR SPEEDY TRIAL" and a section titled "DEMAND FOR JURY TRIAL." There are also section [Image 4] The image is a document scan, specifically a financial report or statement. It is from the company "APOLLO GLOBAL MANAGEMENT LLC" and is dated "3/31/2011" for the period ending "5/31/2011". The document includes sections such as "REPORTED BY", "ADDRESS", "PHONE", "FAX", "SYMBOL", "CUSIP NUMBER", "TELEPHONE", "TELEPHONE", "FAX", "WEBSITE", "TELEPHONE", "TELEPHONE", "FAX", "WEBSITE", "TELEPHONE", "T [Image 5] The image appears to be a document scan, specifically a letter or a form. It contains text and fields to be filled out. The visible fields include a date, a sender's name, a recipient's name, and a subject line. The document is addressed to a recipient named "Dear [Name]." The date on the document is "March 20, 2015." The sender's name is not visible, and the recipient's name is also not visible.