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Athene Holding Ltd. – ‘8-K’ for 3/22/24

On:  Friday, 3/22/24, at 4:07pm ET   ·   For:  3/22/24   ·   Accession #:  1193125-24-75210   ·   File #:  1-37963

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/22/24  Athene Holding Ltd.               8-K:2,8,9   3/22/24   14:548K                                   Donnelley … Solutions/FA

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     41K 
 2: EX-1.1      Underwriting Agreement or Conflict Minerals Report  HTML    166K 
 3: EX-4.3      Instrument Defining the Rights of Security Holders  HTML     81K 
 4: EX-5.1      Opinion of Counsel re: Legality                     HTML     14K 
 9: R1          Document and Entity Information                     HTML     61K 
11: XML         IDEA XML File -- Filing Summary                      XML     13K 
14: XML         XBRL Instance -- d808255d8k_htm                      XML     31K 
10: EXCEL       IDEA Workbook of Financial Report Info              XLSX      9K 
 6: EX-101.DEF  XBRL Definitions -- ahl-20240322_def                 XML     45K 
 7: EX-101.LAB  XBRL Labels -- ahl-20240322_lab                      XML     75K 
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 5: EX-101.SCH  XBRL Schema -- ahl-20240322                          XSD     15K 
12: JSON        XBRL Instance as JSON Data -- MetaLinks               15±    23K 
13: ZIP         XBRL Zipped Folder -- 0001193125-24-075210-xbrl      Zip     87K 


‘8-K’   —   Current Report


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 iX: 
  8-K  
 i Depositary Shares, each representing a 1/1000th interest in a share of 6.35% Fixed-to-Floating Rate Perpetual Non-Cumulative Preferred Stock, Series A  i false  i 0001527469 0001527469 2024-03-22 2024-03-22 0001527469 us-gaap:SeriesAPreferredStockMember 2024-03-22 2024-03-22 0001527469 us-gaap:SeriesBPreferredStockMember 2024-03-22 2024-03-22 0001527469 us-gaap:SeriesCPreferredStockMember 2024-03-22 2024-03-22 0001527469 us-gaap:SeriesDPreferredStockMember 2024-03-22 2024-03-22 0001527469 us-gaap:SeriesEPreferredStockMember 2024-03-22 2024-03-22 0001527469 us-gaap:JuniorSubordinatedDebtMember 2024-03-22 2024-03-22

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM  i 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 OR 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  i March 22, 2024

 

 

 i ATHENE HOLDING LTD.

(Exact name of registrant as specified in its charter)

 

 

 

 i Delaware    i 001-37963    i 98-0630022

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

 i 7700 Mills Civic Pkwy

 i West Des Moines,  i Iowa  i 50266

(Address of principal executive offices and zip code)

 i 1 (515)  i 342-4678

(Registrant’s telephone number, including area code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

   i 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

   i 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

   i 

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

   i 

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading
Symbol

 

Name of each exchange

on which registered

Depositary Shares, each representing a 1/1000th interest in a share of 6.35% Fixed-to-Floating Rate Perpetual Non-Cumulative Preferred Stock, Series A    i ATHPrA    i New York Stock Exchange
 i Depositary Shares, each representing a 1/1000th interest in a share of 5.625% Fixed Perpetual Non-Cumulative Preferred Stock, Series B    i ATHPrB    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/1,000th interest in a share of 6.375% Fixed-Rate Reset Perpetual Non-Cumulative Preferred Stock, Series C    i ATHPrC    i New York Stock Exchange
 i Depositary Shares, Each Representing a 1/1,000th interest in a share of 4.875% Fixed-Rate Perpetual Non-Cumulative Preferred Stock, Series D    i ATHPrD    i New York Stock Exchange
 i Depositary Shares, each representing a 1/1,000th interest in a share of 7.750% Fixed-Rate Reset Perpetual Non-Cumulative Preferred Stock, Series E    i ATHPrE    i New York Stock Exchange
 i 7.250% Fixed-Rate Reset Junior Subordinated Debentures due 2064    i ATHS    i New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  i 

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. ☐

 

 

 


Item 2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The information required by Item 2.03 contained in Item 8.01 below is incorporated by reference herein.

 

Item 8.01

Other Events.

On March 19, 2024, Athene Holding Ltd. (the “Company”) entered into an Underwriting Agreement (the Underwriting Agreement) by and among the Company and Deutsche Bank Securities Inc., Goldman Sachs & Co. LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the several underwriters named therein (the “Underwriters”), relating to the issuance and sale by the Company of $1,000,000,000 aggregate principal amount of its 6.25% Senior Notes due 2054 (the “Notes”). The Notes were issued on March 22, 2024 pursuant to an Indenture, dated as of January 12, 2018, by and between the Company and U.S. Bank Trust Company, National Association, as successor in interest to U.S. Bank National Association, as trustee (the “Trustee”) (as amended by the Eighth Supplemental Indenture, dated December 31, 2023 between the Company (as successor to Athene Holding Ltd., a Bermuda exempted company) and the Trustee, the “Base Indenture), as supplemented by the Ninth Supplemental Indenture, dated as of March 22, 2024, by and between the Company and the Trustee (the “Supplemental Indenture).

The Notes have been registered under the Securities Act of 1933, as amended (the “Act”), pursuant to a shelf registration statement on Form S-3 (File No. 333-276340), previously filed by the Company with the Securities and Exchange Commission under the Act (the “Registration Statement”). The foregoing description of the Notes and related agreements is qualified in its entirety by the terms of the Underwriting Agreement, the Base Indenture and the Supplemental Indenture (including the forms of the Notes). The Underwriting Agreement, the Base Indenture and the Supplemental Indenture (including the forms of the Notes) are filed as Exhibit 1.1, 4.1, 4.2 and 4.3 hereto, and are incorporated by reference herein. An opinion regarding the legality of the Notes is also filed as Exhibit 5.1, and is incorporated by reference into the Registration Statement.

 

Item 9.01

Financial Statements and Exhibits.

(d) Exhibits.

 

Exhibit
No.
  

Description

 1.1    Underwriting Agreement, dated March 19, 2024, by and among Athene Holding Ltd. and Deutsche Bank Securities Inc., Goldman Sachs & Co. LLC, Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, as representatives of the several underwriters named therein
 4.1    Indenture for Debt Securities by and between Athene Holding Ltd. and U.S. Bank Trust Company, National Association, as successor in interest to U.S. Bank National Association, as trustee (incorporated by reference to Exhibit 4.5 to the Form S-3 filed on January 3, 2018)
 4.2    Eighth Supplemental Indenture, dated December 31, 2023, by and between Athene Holding Ltd. (as successor to Athene Holding Ltd., a Bermuda exempted company), and U.S. Bank Trust Company, National Association, as trustee (incorporated by reference to Exhibit 4.2 to the Form 8-K filed on January 2, 2024)
 4.3    Ninth Supplemental Indenture, dated March 22, 2024, by and between Athene Holding Ltd. and U.S. Bank Trust Company, National Association, as trustee
 4.4    Form of 6.25% Senior Notes due 2054 (included in Exhibit 4.3)
 5.1    Opinion of Sidley Austin LLP
23.1    Consent of Sidley Austin LLP (included in Exhibit 5.1)
104    Cover Page Interactive Data File (embedded within the Inline XBRL document)

 

2


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.

 

    ATHENE HOLDING LTD.
Date: March 22, 2024     By:  

/s/ Martin P. Klein

      Martin P. Klein
      Chief Financial Officer

 

3


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on / For Period end:3/22/24
3/19/24424B5,  FWP
12/31/2310-K,  8-K12B
1/12/188-K
 List all Filings 


2 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/02/24  Athene Holding Ltd.               8-K12B:1,2,12/31/23   30:1.5M                                   Donnelley … Solutions/FA
 1/03/18  Athene Holding Ltd.               S-3ASR      1/03/18    8:925K                                   Donnelley … Solutions/FA
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