Apollo Global Mgmt Inc SEC Filings

Hillenbrand, Inc. (HI) filed a Form 4 indicating that director Neil S. Novich received a total of 731 Restricted Stock Units (RSUs) on 30 June 2025. The RSUs were granted through the company’s deferred stock award program and conversion of deferred director fees, each carrying dividend-equivalent rights and issued at $0 cost. Depending on grant date, the RSUs either vest immediately or on the earlier of the next annual meeting or one year after grant, with share delivery deferred until Mr. Novich leaves the board or upon specific triggering events such as a change in control. No common-stock purchases or sales were reported, so cash flow and share count remain unaffected. Post-grant, the director’s beneficial holdings across award pools range between roughly 2,800 and 6,000 units, underscoring ongoing equity alignment with shareholders.

Post Holdings, Inc. (POST) – Form 4 insider filing

Director Dorothy M. Burwell elected to defer her June 2025 board retainer into 101.906 Post Holdings stock equivalents under the company’s Deferred Compensation Plan for Non-Management Directors. The deemed transaction date is 30 June 2025 and the reference price stated is $109.03 per share equivalent. Following the credit, Burwell beneficially owns 7,306.344 stock equivalents, all held directly. The stock equivalents have no fixed exercise or expiration date and will be settled in cash, one-for-one with Post common stock value, upon her separation from the Board. The filing was signed on 2 July 2025.

ArriVent BioPharma, Inc. (Nasdaq: AVBP) has launched a follow-on public offering consisting of 2,482,692 shares of common stock and pre-funded warrants for up to 1,363,469 additional shares. The securities are priced at $19.50 per share (warrant price $19.4999; exercise price $0.0001).

The base deal will generate $75.0 million in gross proceeds. After underwriting fees of 6 % ($1.17 per share) and estimated expenses, net proceeds are expected to be $69.8 million. Underwriters hold a 30-day option for 576,923 extra shares that would lift gross proceeds to $86.3 million and net proceeds to roughly $80.4 million. The financing increases shares outstanding to 36.5 million (37.1 million if the option is exercised) before any warrant conversion.

Use of proceeds: funds will support clinical development of lead EGFR inhibitor firmonertinib, advance other oncology pipeline programs, and provide general working capital.

Clinical backdrop: Firmonertinib holds FDA Breakthrough Therapy and Orphan Drug designations. Interim data show 79 % ORR in EGFR exon-20 NSCLC (FAVOUR) and 68 % ORR at a 240 mg dose in PACC mutations (FURTHER), with favourable CNS activity and no Grade 4/5 TRAEs. A global Phase 3 PACC study (ALPACCA – FURMO-006) is scheduled to begin 2H 2025.

Capital structure impacts: investors will see an immediate book-value dilution of $12.32 per share. Additional dilution is possible from 4.1 million outstanding stock options (WAEP $14.96), 3.8 million shares reserved for future awards, 3.4 million shares already sold under an at-the-market facility, and any exercise of the new pre-funded warrants. ArriVent also owes up to $765 million in milestones to its partner Shanghai Allist for global rights to firmonertinib.

Key terms of the pre-funded warrants: no expiration, exercisable any time for $0.0001 per share, subject to 4.99 %/9.99 % beneficial-ownership caps, and will not be listed for trading.

Timeline: closing and delivery are expected on or about 3 July 2025.

Borr Drilling Limited (BORR) has launched a preliminarily marketed public offering of 50 million common shares via a two-step settlement structure. Approximately 30 million shares are expected to settle on 7 July 2025 (the “First Settlement”) while the remaining 20 million will settle on or about 7 August 2025 (the “Second Settlement”) only if shareholders approve an increase in authorised share capital at a Special General Meeting (SGM) on 6 August 2025. The shares are listed on the NYSE; the last reported price on 1 July 2025 was $1.95.

Net proceeds—whose exact amount will depend on final pricing—are earmarked for general corporate purposes such as debt service, capital expenditure and working-capital needs. The equity raise is also a condition precedent for agreed amendments to Borr’s financing package: commitments have been received to lift the Super Senior Revolving Credit Facility to $200 million (+$50 million), re-classify the $45 million guarantee line, and add a new $34 million senior secured RCF, jointly raising available liquidity by more than $100 million and easing covenant thresholds (lower liquidity minimum, higher leverage ceiling, lower coverage ratios).

Operationally, Borr has booked 13 new contract awards/LOIs/LOAs in 2025, adding ~3,010 potential rig-days and $366 million of revenue backlog (average day-rate $121k). Contract coverage now stands at 84% for 2025 and 45% for 2026 at average day-rates of $144k and $141k, respectively.

Leadership refresh: CCO Bruno Morand will become CEO on 1 September 2025; current CEO Patrick Schorn will transition to Executive Chair, while Chairman Tor Olav Trøim will remain on the board. Investor Granular Capital’s CIO, Thiago Mordehachvili, is nominated to join the board, contingent on SGM approval to expand board size.

Several insiders—Schorn ($1 m), Morand ($0.3 m) and Drew Holding Ltd. ($10 m)—intend to subscribe, all electing to receive shares in the Second Settlement. If the SGM fails, only the First Settlement closes, leaving the remaining 20 million shares undelivered.

SEC Form 4 filing: Director Jessica M. Bibliowicz reported the grant of 1,446 restricted stock units (RSUs) of Apollo Global Management, Inc. (APO) on 01 July 2025 under the company’s 2019 Omnibus Equity Incentive Plan. Each RSU converts into one share of common stock when vested and, per Bibliowicz’s deferral election, shares will be issued after she leaves the Board.

Following the grant, the director’s total beneficial ownership rises to 14,472 shares, including 6,802 previously issued RSUs. The transaction carried a stated price of $0 because it is an equity award, not an open-market purchase.

• The RSUs vest in installments, subject to continued service.
• No derivative securities were bought or sold, and no cash changed hands.
• The filing does not disclose any sales, dispositions, or purchases by the insider beyond the single RSU grant.

The activity is routine board compensation and does not materially alter the company’s share count or governance profile, but it affirms alignment of director incentives with shareholder value.

Form 4 filing for KORU Medical Systems, Inc. (KRMD) discloses that director Shahriar Matin acquired 4,189 shares of common stock on 07/02/2025 at a reported price of $3.58 per share. Following the transaction, Matin’s direct ownership increased to 87,604 shares. No derivative security activity or additional explanatory notes beyond the standard boiler-plate language were provided. The filing was signed by Attorney-in-Fact Thomas Adams.

JPMorgan Chase Financial Company LLC is offering Auto Callable Accelerated Barrier Notes linked individually to the Nasdaq-100 (NDX), Russell 2000 (RTY) and S&P 500 (SPX) indices. The notes are unsecured, unsubordinated obligations of JPMorgan Chase Financial and are fully and unconditionally guaranteed by JPMorgan Chase & Co. Key commercial terms are still preliminary and will be finalized on or about July 28 2025, with settlement expected on July 31 2025 and maturity on August 2 2028.

• Automatic call feature: If on any non-final Review Date (July 31 2026 or July 28 2027) the closing level of each index is at or above 100 % of its Initial Value, the notes will be redeemed early for $1,000 plus the applicable Call Premium Amount (≥ 12.55 % or ≥ 25.10 %).
• Upside participation at maturity: If not called and all three indices finish above their Initial Values on the final Review Date, investors receive 1.50× the percentage gain of the worst-performing index (uncapped).
• Barrier protection: 70 % of Initial Value for each index. If any index closes below its barrier on the final Review Date, principal is reduced one-for-one with the decline of the worst performer, exposing investors to losses up to 100 %.
• Indicative economics: Estimated value today is $945.30 per $1,000 note (minimum ≥ $900.00), reflecting selling commissions (≤ $30) and structuring/hedging costs included in the $1,000 issue price.
• Liquidity & credit: The notes will not be listed; secondary prices depend on JPMS bid. Payment is subject to the credit of both the issuer and guarantor.

Investors forgo periodic coupons and dividends, face potential early redemption that caps upside, and assume index, market-volatility, credit and liquidity risks as detailed in the extensive “Selected Risk Considerations.”

Form 4 filing for Apollo Global Management, Inc. (APO): Director Mitra O’Neill (professionally known as Mitra Hormozi) reported the grant of 1,446 restricted stock units (RSUs) on 07/01/2025 under the company’s 2019 Omnibus Equity Incentive Plan. Each RSU converts into one share of APO common stock upon vesting, with settlement deferred until the director leaves the board. Following the award, the director’s direct holdings total 30,344 shares (including 7,049 RSUs already held). In addition, 2,500 shares are indirectly held through an entity controlled by the director’s spouse. No shares were sold, no cash changed hands, and no derivative securities were involved. This filing reflects routine, service-based equity compensation aimed at aligning director interests with shareholders rather than signaling a change in company fundamentals.

Warby Parker Inc. (NYSE: WRBY) has filed a Form 144 indicating an insider’s intent to sell common shares. The notice covers the proposed sale of 50,000 shares—acquired through previously exercised stock options on 11 November 2017—via Morgan Stanley Smith Barney LLC. At the most recent reference price, the transaction is valued at approximately $1.10 million. The filer plans to execute the trade on or about 1 July 2025. Warby Parker reports 104,502,616 shares outstanding, so the sale represents roughly 0.05 % of the float. No other sales by the same party have occurred in the prior three-month period, and the filer attests to possessing no undisclosed material adverse information. Because Form 144 filings merely provide advance notice and do not guarantee execution, the actual sale may vary in timing or size.

For investors, the event is typically viewed as routine liquidity management rather than an outsized insider exit, given the limited share count and negligible dilution effect. Nonetheless, insider intentions can act as a market signal that warrants monitoring alongside other corporate developments.