Aris Management, LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same
event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
143158
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
143161
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO CAPITAL MANAGEMENT,
L.P.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4),
and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in
Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the
IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 

2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must
fit within the space provided).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part 1A
or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
143158
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO GLOBAL MANAGEMENT,
INC. F/K/A APOLLO GLOBAL
MANAGEMENT, LLC
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.(1)
(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event
listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 

B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the
IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
COURT ACTION INITIATED BY PRIVATE LEAD PLAINTIFF HUSAM ASSAF ENTITLED: PERDOMO V. ADT INC, ET AL.
2.
Principal Relief Sought:
Money Damages (Private/Civil Complaint)
Other Relief Sought: 
PREJUDGEMENT AND POST-JUDGEMENT INTEREST, PLUS ATTORNEY'S AND EXPERT FEES AND RELATED COSTS
3.
Filing Date of Court Action (MM/DD/YYYY):
05/21/2018
 Exact
 Explanation
If not exact, provide explanation:
WHILE THE INITIAL COMPLAINT IN THIS CASE WAS FILED 5/21/2018 AGAINST APOLLO GLOBAL MANAGEMENT, INC. F/K/A APOLLO GLOBAL MANAGEMENT,
LLC, AN ADVISORY AFFILIATE OF THE APPLICANT, APOLLO MANAGEMENT, L.P., IT WAS NEVER SERVED WITH A COPY OF THE COMPLAINT. AN AMENDED
COMPLAINT WAS FILED ON 1/15/2019, NAMING THE APPLICANT, APOLLO MANAGEMENT, L.P., AND SEVERAL OF ITS ADVISORY AFFILIATES.
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF FLORIDA, CIVIL ACTIONS NO. 9:18-CV-80668-DMM
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF THOSE WHO PURCHASED ADT INC. ("ADT") COMMON STOCK IN OR TRACEABLE TO ADT'S
JANUARY 19, 2018 INITIAL PUBLIC STOCK OFFERING (THE "IPO"), SEEKING TO PURSUE REMEDIES UNDER THE SECURITIES ACT OF 1933 (THE "1933 ACT")
AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS
ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT
RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTIONS 11 AND
15(A) OF THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF
THE PROSPECTUS FOR THE IPO.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
01/28/2019
 Exact
 Explanation
If not exact, provide explanation:
MULTIPLE SERVICE ATTEMPTS WERE MADE TO SERVE THE "APOLLO ENTITIES" PUTATIVELY NAMED AS DEFENDANTS.
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Dismissed
12. Resolution Date (MM/DD/YYYY): 
01/08/2021
 Exact
 Explanation
If not exact, provide explanation:
THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY ADMISSIONS
OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES; AND (2) BARRED SIMILAR
CLAIMS FROM BEING ASSERTED AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?

Monetary/Fine Amount: $ 0.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY
ADMISSIONS OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES; AND (2)
BARRED SIMILAR CLAIMS FROM BEING ASSERTED AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must fit
within the space provided). 
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT COMMON STOCK IN OR TRACEABLE TO ADT'S JANUARY
19, 2018 IPO, SEEKING TO PURSUE REMEDIES UNDER THE 1933 ACT AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING
APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE
DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY
AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTIONS 11 AND 15(A) OF THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS
AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF THE PROSPECTUS FOR THE IPO.THE COURT'S ORDER AND JUDGMENT
DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY ADMISSIONS OR FINDINGS OF LIABILITY AND
WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES; AND (2) BARRED SIMILAR CLAIMS FROM BEING ASSERTED
AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part 1A
or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual

Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT
HOLDINGS GP, LLC
(For individuals, Last, First,
Middle)
CRD
Number:
143158
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO MANAGEMENT, L.P.
(For individuals, Last, First,
Middle)
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
APOLLO GLOBAL MANAGEMENT,
INC. F/K/A APOLLO GLOBAL
MANAGEMENT, LLC
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.(1)
(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event
listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the
IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
LEAD PLAINTIFFS: GOLDSTRAND INVESTMENTS INC., RICHARD KREBSBACH, HOWARD KATZ, DANIEL M. SWEET AND ROBERT LOWINGER
2.
Principal Relief Sought:
Money Damages (Private/Civil Complaint)
Other Relief Sought: 
INJUNCTION; ATTORNEY'S FEES AND RELATED COSTS
3.
Filing Date of Court Action (MM/DD/YYYY):
08/24/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 

CIRCUIT COURT OF THE 15TH JUDICIAL CIRCUIT IN PALM BEACH COUNTY, FLORIDA, DKT. NO. 502018CA00349XXXXMB-AG
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT INC. ("ADT") COMMON STOCK IN OR TRACEABLE TO
ADT'S JANUARY 19, 2018 INITIAL PUBLIC STOCK OFFERING (THE "IPO"), SEEKING TO PURSUE REMEDIES UNDER THE SECURITIES ACT OF 1933 (THE "1933
ACT") AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING APOLLO MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS
ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE DEFENDANTS VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT
RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY AFFILIATES, PLAINTIFF ASSERTS A CLAIM FOR VIOLATION OF SECTION 15(A) OF
THE 1933 ACT AS A RESULT OF THE ALLEGED MISSTATEMENTS AND OMISSIONS IN THE REGISTRATION STATEMENT AND IN THE PREPARATION OF THE
PROSPECTUS FOR THE IPO.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Judgment Rendered
12. Resolution Date (MM/DD/YYYY): 
01/08/2021
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 0.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of
penalty was waived:
THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES WITHOUT ANY ADMISSIONS
OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must fit
within the space provided). 
PLAINTIFF BROUGHT A SECURITIES CLASS ACTION ON BEHALF OF ALL THOSE WHO PURCHASED ADT COMMON STOCK IN OR TRACEABLE TO ADT'S JANUARY
19, 2018 IPO, SEEKING TO PURSUE REMEDIES UNDER 1933 ACT AGAINST THE ISSUER, ADT, AND A NUMBER OF OTHER DEFENDANTS, INCLUDING APOLLO
MANAGEMENT, L.P., THE APPLICANT, AND SEVERAL OF ITS ADVISORY AFFILIATES. THE PLAINTIFF ALLEGES, AMONG OTHER THINGS, THAT THE DEFENDANTS
VIOLATED SEVERAL PROVISIONS OF THE 1933 ACT. AS IT RELATES TO APOLLO MANAGEMENT, L.P. AND SEVERAL OF ITS ADVISORY AFFILIATES, PLAINTIFF
ASSERTS A CLAIM FOR VIOLATION OF SECTION 15(A) OF THE 1933 ACT AS A RESULT OF ALLEGED MISSTATEMENTS AND OMISSIONS IN THE REGISTRATION
STATEMENT FOR THE IPO. THE COURT'S ORDER AND JUDGMENT DISMISSING THE ACTION (1) TERMINATED ALL CLAIMS AGAINST THE APOLLO ENTITIES
WITHOUT ANY ADMISSIONS OR FINDINGS OF LIABILITY AND WITHOUT IMPOSING ANY FEES, COSTS, DAMAGES, OR SANCTIONS ON THE APOLLO ENTITIES;
AND (2) BARRED SIMILAR CLAIMS FROM BEING ASSERTED AGAINST THE APOLLO ENTITIES IN FUTURE ACTIONS.