Sec Form 4 Filing - DALEY CHARLES J JR @ Artisan Partners Asset Management Inc. - 2020-02-24

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
DALEY CHARLES J JR
2. Issuer Name and Ticker or Trading Symbol
Artisan Partners Asset Management Inc. [ APAM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Exec VP, CFO & Treasurer
(Last) (First) (Middle)
C/O ARTISAN PARTNERS ASSET MANAGEMENT, 875 E WISCONSIN AVE, SUITE 800
3. Date of Earliest Transaction (MM/DD/YY)
02/24/2020
(Street)
MILWAUKEE, WI53202
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Class B Common Stock, par value $0.01 per share ( 1 ) 02/24/2020 D( 2 ) 37,729 ( 2 ) ( 3 ) D $ 0 60,050 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Class B Common Units of Artisan Partners Holdings LP ( 2 ) 02/24/2020 D( 2 ) 37,729 ( 2 ) ( 3 ) ( 3 ) ( 3 ) Class A Common Stock, par value $0.01 per share 37,729 $ 34.96 60,050 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
DALEY CHARLES J JR
C/O ARTISAN PARTNERS ASSET MANAGEMENT
875 E WISCONSIN AVE, SUITE 800
MILWAUKEE, WI53202
X Exec VP, CFO & Treasurer
Signatures
/s/ Lisa A. Moran, attorney-in-fact for Mr. Daley 02/24/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )In connection with the Company's initial public offering and related reorganization transactions, on March 12, 2013, each holder of a Class B common unit ("Class B Common Unit") of Artisan Partners Holdings LP received a number of shares of Class B common stock par value $0.01 per share ("Class B Common Stock"), of the Company equal to the number of Class B Common Units then held by such person. Shares of Class B Common Stock do not have economic rights.
( 2 )On February 24, 2020, pursuant to the Partnership Unit Purchase Agreement dated February 11, 2020 by and between the Company and Mr. Daley, the Company purchased 37,729 Class B Common Units from Mr. Daley for $34.96 per unit and Mr. Daley delivered to the Company an equal number of shares of Class B Common Stock for cancellation.
( 3 )Pursuant to an Exchange Agreement among the Company and each holder of limited partnership units of Artisan Partners Holdings LP ("Exchange Agreement"), dated March 12, 2013, each holder of Class B Common Units has the right, pursuant to and subject to the limitations and restrictions set forth in the Exchange Agreement, to exchange his, her or its Class B 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 B Common Stock then held by such holder will be cancelled. The Class B Common Units have no expiration date.

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