Douglas Bartlett Niemann - Dec 23, 2021 Form 4 Insider Report for Athene Holding Ltd (ATH)

Role
EVP and Chief Risk Officer
Signature
/s/ Ira Rosenblatt, attorney-in-fact
Stock symbol
ATH
Transactions as of
Dec 23, 2021
Transactions value $
-$42,425
Form type
4
Date filed
12/28/2021, 04:33 PM
Next filing
Jan 3, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATH Class A Common Shares Options Exercise +1.38K +70.67% 3.33K Dec 23, 2021 Direct F3, F5
transaction ATH Class A Common Shares Options Exercise +1.16K +34.89% 4.49K Dec 23, 2021 Direct F3, F5
transaction ATH Class A Common Shares Tax liability -$42.4K -539 -12.01% $78.71 3.95K Dec 23, 2021 Direct F4, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ATH Restricted Stock Units Options Exercise $0 -1.38K -50% $0.00 1.38K Dec 23, 2021 Class A Common Shares 1.38K Direct F1, F3
transaction ATH Restricted Stock Units Options Exercise $0 -1.16K -33.31% $0.00 2.32K Dec 23, 2021 Class A Common Shares 1.16K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each RSU represents a contingent right to receive one Class A common share of the Issuer. The original grant of these RSUs was scheduled to vest in equal parts on each of the first three anniversaries of the January 1, 2020 vesting start date. The vesting of the 1,378 RSUs scheduled to vest on January 1, 2022 was accelerated and these RSUs settled on December 23, 2021. An additional 8,265 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2020 to December 31, 2022. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship.
F2 Each RSU represents a contingent right to receive one Class A common share of the Issuer. The original grant of these RSUs was scheduled to vest in equal parts on each of the first three anniversaries of the January 1, 2021 vesting start date. The vesting of the 1,161 RSUs scheduled to vest on January 1, 2022 was accelerated and these RSUs settled on December 23, 2021. An additional 6,969 RSUs not reported herein vest only if the Issuer satisfies certain performance criteria over the three fiscal year period from January 1, 2021 to December 31, 2023. Vested RSUs are settled in Class A common shares on a one-for-one basis. In certain circumstances involving termination of the reporting person after a change in control of the Issuer, the award shall become immediately and fully vested as of the effective date of such termination of relationship.
F3 This reported transaction represents vested RSUs that have been settled in Class A common shares. Vested RSUs are settled in Class A common shares on a one-for-one basis.
F4 This reported transaction represents shares withheld to satisfy tax withholding obligations in connection with the settlement of vested RSUs that settled in Class A common shares.
F5 Includes an aggregate of 1,078 Class A common shares of the Issuer that were acquired under the Issuer's stock purchase plan in multiple lots on October 1, 2020, April 1, 2021, and January 4, 2021.

Remarks:

Exhibit 24.1 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 16, 2020)