SEC FORM
4
SEC Form 4
| FORM 4 |
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
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
| C/O ARTISAN PARTNERS ASSET MANAGEMENT |
| 875 E WISCONSIN AVE, SUITE 800 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Artisan Partners Asset Management Inc.
[ APAM ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
X |
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| CEO |
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3. Date of Earliest Transaction
(Month/Day/Year)
03/01/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Class A Common Stock, par value $0.01 per share |
03/01/2023 |
|
A |
|
56,990
|
A |
$0
|
204,433 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
|
/s/ Lisa A. Moran, attorney-in-fact for Mr. Colson |
03/02/2023 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
EXHIBIT 24
Artisan Partners Asset Management
Power of Attorney
for Executing Forms 3, 4 and 5
Know all by these presents, that the undersigned hereby makes,
constitutes and appoints each of Sarah A. Johnson, Laurie E. Simpson,
Lisa A. Moran, and Molly L. Bussie or any of them acting singly, and
with full power of substitution and re-substitution, the undersigned's
true and lawful attorney-in-fact (each of such persons and their
substitutes being referred to herein as the "Attorney-in-Fact"),
with full power to act for the undersigned and in the undersigned's
name, place and stead, in any and all capacities, to:
1. Prepare, execute, and submit to the Securities and Exchange Commission
("SEC") a Form ID, including amendments thereto, and any other documents
necessary or appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of reports required
or considered by the Attorney-in-Fact to be advisable under Section 13
or Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act")
or any rule or regulation of the SEC;
2. Prepare, execute and submit to the SEC, Artisan Partners Asset
Management Inc. (the ?Company?), and/or any national securities exchange
on which the Company?s securities are listed any and all reports
(including any amendments thereto) the undersigned is required to file
with the SEC, or which the Attorney-in-Fact considers it advisable to
file with the SEC, under Section 13 or Section 16 of the Exchange
Act or any rule or regulation thereunder, or under Rule 144 under
the Securities Act of 1933 (?Rule 144?), with respect to the any
security of the Company, including Forms 3, 4 and 5, Schedules
13D and 13G, and Forms 144; and
3. Obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in the
Company's equity securities from any third party, including the
Company and any brokers, dealers, employee benefit plan administrators
and trustees, and the undersigned hereby authorizes any such third
party to release any such information to the Attorney-in-Fact.
The undersigned acknowledges that:
a) This Power of Attorney authorizes, but does not require, the
Attorney-in-Fact to act in his or her discretion on information provided
to such Attorney-in-Fact without independent verification of such information;
b) Any documents prepared or executed by the Attorney-in-Fact on
behalf of the undersigned pursuant to this Power of Attorney will be in
such form and will contain such information as the Attorney-in-Fact, in
his or her discretion, deems necessary or desirable;
c) Neither the Company nor the Attorney-in-Fact assumes any liability
for the undersigned's responsibility to comply with the requirements of
Section 13 or Section 16 of the Exchange Act or Rule 144, any liability
of the undersigned for any failure to comply with such requirements, or
any liability of the undersigned for disgorgement of profits under Section
16(b) of the Exchange Act; and
d) This Power of Attorney does not relieve the undersigned from
responsibility for compliance with the undersigned's obligations under
Section 13 or Section 16 of the Exchange Act, including, without
limitation, the reporting requirements under Section 13 or Section
16 of the Exchange Act.
The undersigned hereby grants to the Attorney-in-Fact full power
and authority to do and perform each and every act and thing requisite,
necessary or advisable to be done in connection with the foregoing, as
fully, to all intents and purposes, as the undersigned might or could
do in person, hereby ratifying and confirming all that the
Attorney-in-Fact, or his or her substitute or substitutes, shall
lawfully do or cause to be done by authority of this Power of Attorney.
This Power of Attorney shall remain in full force and effect
until the undersigned is no longer required to file Forms 4 or 5 or
Schedules 13D or 13G or Forms 144 with respect to the undersigned's
holdings of and transactions in securities of the Company, unless earlier
revoked by the undersigned in a signed writing delivered to the
Attorney-in-Fact. This Power of Attorney revokes all previous powers
of attorney with respect to the subject matter of this Power of Attorney.
IN WITNESS WHEREOF, the undersigned has executed this Power of
Attorney as of January 25, 2023.
/s/ Eric R. Colson
Eric R. Colson
