Sec Form 4 Filing - Barger Matthew R @ Artisan Partners Asset Management Inc. - 2020-01-29

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
Barger Matthew R
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)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O ARTISAN PARTNERS ASSET MANAGEMENT, 875 EAST WISCONSIN AVENUE, SUITE 800
3. Date of Earliest Transaction (MM/DD/YY)
01/29/2020
(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 A Common Stock, par value $0.01 per share 01/29/2020 A 5,627 A $ 0 7,599 D ( 1 )
Class A Common Stock, par value $0.01 per share 32,690 I The Barger Revocable Trust ( 1 )
Class C Common Stock, par value $0.01 per share ( 2 ) 259,360 I Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust ( 3 )
Class C Common Stock, par value $0.01 per share ( 2 ) 310,500 I Matthew Reed Barger Trustee of the Matthew Reed Barger 2018 Annuity Trust
Class C Common Stock, par value $0.01 per share ( 2 ) 672,142 I The Barger Revocable Trust ( 3 )
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)
(Inst r. 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 A Common Units of Artisan Partners Holdings LP ( 4 ) ( 4 ) ( 4 ) Class A Common Stock, par value $0.01 per share 259,360 259,360 I Matthew Reed Barger Trustee of the Matthew Barger 2016 Annuity Trust ( 3 )
Class A Common Units of Artisan Partners Holdings LP ( 4 ) ( 4 ) ( 4 ) Class A Common Stock, par value $0.01 per share 310,500 310,500 I Matthew Reed Barger Trustee of the Matthew Reed Barger 2018 Annuity Trust
Class A Common Units of Artisan Partners Holdings LP ( 4 ) ( 4 ) ( 4 ) Class A Common Stock, par value $0.01 per share 672,142 672,142 I The Barger Revocable Trust ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Barger Matthew R
C/O ARTISAN PARTNERS ASSET MANAGEMENT
875 EAST WISCONSIN AVENUE, SUITE 800
MILWAUKEE, WI53202
X
Signatures
/s/ Lisa A. Moran, attorney-in-fact for Mr. Barger 01/30/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )On May 31, 2019, the Reporting Person transferred 32,690 restricted stock units settleable only in shares of Class A Common Stock, from Matthew R. Barger to The Barger Revocable Trust.
( 2 )On March 12, 2013, each holder of a Class A Common Unit of Artisan Partners Holdings LP received a number of shares of Class C Common Stock of Artisan Partners Asset Management Inc. (the "Company") equal to the number of Class A Common Units held by such person. Shares of Class C Common Stock do not have economic rights.
( 3 )On May 31, 2019, the Reporting Person transferred 37,450 shares of Class C Common Stock and the same number of Class A Common Units from the Matthew Reed Barger 2016 Annuity Trust (of which the Reporting Person is trustee and beneficiary) to the Barger Revocable Trust.
( 4 )Each Class A Common Unit of Artisan Partners Holdings LP became exchangeable for one share of Class A Common Stock of the Company upon effectiveness of the Fourth Amended and Restated Limited Partnership Agreement of Holdings and an Exchange Agreement among the Company and each holder of limited partnership units of Holdings (the "Exchange Agreement"), each of which became effective on the closing date of the Company's IPO. Pursuant to the Exchange Agreement, each holder of Class A Common Units will have the right, pursuant to and subject to the limitations and restrictions set forth in the Exchange Agreement, to exchange his, her or its Class A Common Units for an equal number of shares of 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 such holder will be cancelled. The Class A Common Units have no expiration date.

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