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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class D Common Units of Artisan Partners Holdings LP | (2) | 03/12/2014 | D(2) | 1,444,146 (2) (3) | (3) | (3) | Class A Common Stock, par value $0.01 per share | 1,444,146 | $ 59.675 (2) | 8,183,498 | I | By Artisan Investment Corporation (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ZIEGLER ANDREW A C/O ARTISAN PARTNERS ASSET MGMT INC. 875 E. WISCONSIN AVE, SUITE 800 MILWAUKEE, WI 53202 |
X | X | ||
ARTISAN INVESTMENT CORP 875 E. WISCONSIN AVENUE, SUITE 800 MILWAUKEE, WI 53202 |
X | X | ||
ZFIC, Inc. 875 E. WISCONSIN AVENUE, SUITE 800 MILWAUKEE, WI 53202 |
X | X | ||
ZIEGLER CARLENE M 875 E. WISCONSIN AVENUE, SUITE 800 MILWAUKEE, WI 53202 |
X | X |
Lisa A. Moran, attorney-in-fact for Andrew A. Ziegler | 03/12/2014 | |
**Signature of Reporting Person | Date | |
Lisa A. Moran, attorney-in-fact for Artisan Investment Corporation | 03/12/2014 | |
**Signature of Reporting Person | Date | |
Lisa A. Moran, attorney-in-fact for ZFIC, Inc. | 03/12/2014 | |
**Signature of Reporting Person | Date | |
Lisa A. Moran, attorney-in-fact for Carlene Ziegler | 03/12/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | In connection with the initial public offering of Artisan Partners Asset Management Inc. (the "Company") and the related reorganization transactions, on March 12, 2013, Artisan Investment Corporation ("AIC") received a number of shares of Class C common stock, par value $0.01 per share ("Class C Common Stock"), of the Company equal to the number of Class D common units ("Class D Common Units") then held by AIC. Shares of Class C Common Stock have no economic rights. |
(2) | On March 12, 2014, pursuant to the Partnership Unit Purchase Agreement by and between the Company and AIC, the Company purchased 1,444,146 Class D Common Units from AIC for $59.675 per unit and AIC delivered to the Company an equal number of shares of Class C Common Stock for cancellation. |
(3) | Pursuant to the Exchange Agreement among the Company and each holder of limited partnership units of Artisan Partners Holdings LP (the "Exchange Agreement"), which became effective on March 12, 2013, following March 12, 2014, AIC will have the right, pursuant to and subject to the limitations and restrictions set forth in the Exchange Agreement, to exchange its Class D Common Units for an equal number of shares of Class A common stock, par value $0.01 per share ("Class A Common Stock"), of the Company. Upon any such exchange for Class A Common Stock, the corresponding shares of Class C Common Stock then owned by AIC will be cancelled. The Class D Common Units have no expiration date. |
(4) | These shares and units, as applicable, are owned directly by AIC. All of the outstanding capital stock of AIC is owned directly by ZFIC, Inc. The reporting person and his spouse own all of the voting shares of ZFIC, Inc. The nonvoting shares of ZFIC, Inc. are owned by trusts, the sole beneficiaries of which are immediate family members of the reporting person. |