UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
Form
10-K/A
Amendment No. 1
(Mark One)
☒ | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE TRANSITION PERIOD FROM TO
Commission File Number:
001-35107
APOLLO GLOBAL MANAGEMENT, INC.
(Exact name of Registrant as specified in its charter)
Delaware | 20-8880053 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
9 West 57th Street, 43rd Floor
New York, New York 10019
(Address of principal executive offices) (Zip Code)
(212)
515-3200
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Class A Common Stock | APO | New York Stock Exchange | ||
6.375% Series A Preferred Stock | APO.PR A | New York Stock Exchange | ||
6.375% Series B Preferred Stock | APO.PR B | New York Stock Exchange |
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities. Yes
☒
No ☐
Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes
☐
No ☒
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes
☒
No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation
S-T
(§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒
No ☐
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer”, “accelerated filer”, “smaller reporting company” and “emerging growth company” in Rule12b-2
of the Exchange Act.Large accelerated filer | ☒ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☐ | Smaller reporting company | ☐ | |||
Emerging growth company | ☐ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Indicate by check mark whether the Registrant is a shell company (as defined in Rule
12b-2
of the Exchange Act). Yes ☐
No ☒The aggregate market value of the Class A common stock of the Registrant held by
non-affiliates
as of June 30, 2019 was approximately $6,736.1 million, which includesnon-voting
Class A shares with a value of approximately $20.2 million.As of February 18, 2020 there were 231,012,948 shares of Class A common stock, 1 share of Class B common stock and 1 share of Class C common stock of the registrant outstanding.
EXPLANATORY NOTE
Apollo Global Management Inc., a Delaware corporation, together with its subsidiaries, where applicable, the “Company”, which may also be referred to as “we”, “us” or “our”, is filing this Amendment No. 1 (the “Amendment”) to our Annual Report on Form
10-K
for the fiscal year ended December 31, 2019, which was filed on February 21, 2020 (the “Form10-K”),
to provide audited financial statements for Athene Holding Ltd. pursuant to Rule3-09
of RegulationS-X
for the year ended December 31, 2019.This Amendment also updates, amends and supplements Part IV, Item 15 of the Form
10-K
to include the filing of Exhibit 23.2, the consent of PricewaterhouseCoopers LLP, and Exhibits 31.3, 31.4, 32.3 and 32.4, certifications of our Chief Executive Officer and Chief Financial Officer, pursuant to Rule13a-14(a)
and (b) of the Securities Exchange Act of 1934, as amended.No other changes have been made to the Form
10-K.
This Amendment does not reflect subsequent events that may have occurred after the original filing date of the Form10-K
or modify or update in any way disclosures made in the10-K.
Among other things, forward-looking statements made in the Form10-K
have not been revised to reflect events that occurred or facts that became known to us after the filing of the Form10-K,
and such forward-looking statements should be read in their historical context. Furthermore, this Amendment should be read in conjunction with the Form10-K
and any subsequent filings with the Securities and Exchange Commission.PART IV.
ITEM 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES |
Documents filed as part of this report
Exhibits
The following exhibits are filed as part of or incorporated by reference into this report:
Exhibit Number | Exhibit Description | |
3.1 | ||
3.2 | ||
3.3 | ||
4.1 | ||
4.2 | ||
4.3 | ||
4.4 |
4.5 | ||
4.6 | ||
4.7 | ||
4.8 |
Exhibit Number | Exhibit Description | |
4.9 | ||
4.10 | ||
4.11 | ||
4.12 | ||
4.13 | ||
4.14 | ||
4.15 | ||
4.16 | ||
4.17 | ||
4.18 | ||
4.19 | ||
^4.20 |
Exhibit Number | Exhibit Description | |
+10.1 | ||
+10.2 | ||
+10.3 | ||
+10.4 | ||
+10.5 | ||
+10.6 | ||
+10.7 | ||
+10.8 | ||
+10.9 | ||
+10.10 | ||
+10.11 |
Exhibit Number | Exhibit Description | |
+10.12 | ||
10.13 | ||
10.14 | ||
10.15 | ||
10.16 | ||
10.17 | ||
10.18 | ||
10.19 | ||
10.20 | ||
10.21 |
Exhibit Number | Exhibit Description | |
+10.22 | ||
10.23 | ||
+10.24 | ||
+10.25 | ||
+10.26 | ||
10.27 | ||
10.28 | ||
10.29 | ||
10.30 | ||
10.31 | ||
10.32 | ||
10.33 | ||
10.34 |
Exhibit Number | Exhibit Description | |
10.35 | ||
10.36 | ||
10.37 | ||
+10.38 | ||
+10.39 | ||
+10.40 | ||
+10.41 | ||
+10.42 | ||
+10.43 | ||
+10.44 | ||
+10.45 | ||
+10.46 |
Exhibit Number | Exhibit Description | |
10.47 | ||
10.48 | ||
^10.49 | ||
+10.50 | ||
+10.51 | ||
+10.52 | ||
^+10.53 | ||
+10.54 | ||
+10.55 | ||
+10.56 | ||
+10.57 | ||
+10.58 | ||
+10.59 | ||
^+10.60 | ||
+10.61 | ||
+10.62 | ||
+10.63 |
Exhibit Number | Exhibit Description | |
+10.64 | ||
+10.65 | ||
+10.66 | ||
+10.67 | ||
+10.68 | ||
+10.69 | ||
+10.70 | ||
10.71 | ||
10.72 | ||
10.73 |
Exhibit Number | Exhibit Description | |
10.74 | ||
10.75 | ||
10.76 | ||
+10.77 | ||
+10.78 | ||
+10.79 | ||
+10.80 | ||
+10.81 | ||
+10.82 |
Exhibit Number | Exhibit Description | |
+10.83 | ||
+10.84 | ||
+10.85 | ||
+10.86 | ||
+10.74 | ||
+10.75 | ||
+10.76 | ||
+10.77 | ||
+10.78 | ||
+10.79 | ||
+10.93 | ||
+10.94 | ||
+10.95 |
Exhibit Number | Exhibit Description | |
+10.96 | ||
^10.97 | ||
^10.98 | ||
^21.1 | ||
^23.1 | ||
*23.2 | ||
^31.1 | ||
^31.2 | ||
*31.3 | ||
*31.4 | ||
^32.1 | ||
^32.2 | ||
*32.3 | ||
*32.4 | ||
99.1 | ||
101.INS | XBRL Instance Document—the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | |
*101.SCH | XBRL Taxonomy Extension Schema Document | |
*101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | |
*101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | |
*101.LAB | XBRL Taxonomy Extension Label Linkbase Document | |
*101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | |
104 | The cover page from Apollo Global Management Inc.’s Amendment No. 1 to the Annual Report on Form 10-K for the fiscal year ended December 31, 2019, formatted in Inline XBRL (included within the Exhibit 101 attachments). |
* | Filed herewith. |
^ | Previously filed with the Form 10-K. |
+ | Management contract or compensatory plan or arrangement. |
The agreements and other documents filed as exhibits to this report are not intended to provide factual information or other disclosure other than with respect to the terms of the agreements or other documents themselves, and you should not rely on them for that purpose. In particular, any representations and warranties made by us in these agreements or other documents were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Apollo Global Management, Inc. | ||||||||
(Registrant) | ||||||||
Date: March 2 3 , 2020 | By: | /s/ Martin Kelly | ||||||
Name: | Martin Kelly | |||||||
Title: | Chief Financial Officer and Co-Chief Operating Officer |