Apollo Global Management, Inc., 55484-55485 [2023-17497]

Download as PDF 55484 Federal Register / Vol. 88, No. 156 / Tuesday, August 15, 2023 / Notices raised by these comments, staff will make a recommendation to the Assistant Secretary of Labor for Occupational Safety and Health on whether to grant TUVRNA’s application for expansion of the scope of recognition. The Assistant Secretary will make the final decision on granting the application. In making this decision, the Assistant Secretary may undertake other proceedings prescribed in Appendix A to 29 CFR 1910.7. OSHA will publish a public notice of the final decision in the Federal Register. VI. Authority and Signature James S. Frederick, Deputy Assistant Secretary of Labor for Occupational Safety and Health, 200 Constitution Avenue NW, Washington, DC 20210, authorized the preparation of this notice. Accordingly, the agency is issuing this notice pursuant to 29 U.S.C. 657(g)(2), Secretary of Labor’s Order No. 8–2020 (85 FR 58393; Sept. 18, 2020), and 29 CFR 1910.7. Signed at Washington, DC, on August 8, 2023. James S. Frederick, Deputy Assistant Secretary of Labor for Occupational Safety and Health. [FR Doc. 2023–17428 Filed 8–14–23; 8:45 am] BILLING CODE 4510–26–P NATIONAL SCIENCE FOUNDATION Advisory Committee for Biological Sciences ddrumheller on DSK120RN23PROD with NOTICES1 Notice of Meeting In accordance with the Federal Advisory Committee Act (Pub. L. 92– 463, as amended), the National Science Foundation (NSF) announces the following meeting: Name and Committee Code: Advisory Committee for Biological Sciences (#1110) (Hybrid Meeting) Date and Time: September 13, 2023, 10:00 a.m.–5:00 p.m. Eastern; September 14, 2023, 10:00 a.m.–3:00 p.m. Eastern. Place: NSF, 2415 Eisenhower Avenue, Alexandria, VA 22314 (Virtual). The meeting will be held as a hybrid, with some Advisory Committee members participating in person and others participating virtually. For members of NSF and the external community, livestreaming will be accessible through the following pages: September 13, 2023: https:// youtube.com/ watch?v=gMmpDtRtGmw September 14, 2023: https:// youtube.com/watch?v=LkY7FpSibOE VerDate Sep<11>2014 18:39 Aug 14, 2023 Jkt 259001 Additional sub-links for planned breakout sessions will be forthcoming on the BIO AC website prior to the meeting at: https://www.nsf.gov/bio/ advisory.jsp. Type of Meeting: Open. Contact Persons: Dr. Karen C. Cone, National Science Foundation, 2415 Eisenhower Avenue, Alexandria, VA 22314; Telephone: (703) 292–4967; Email: kccone@nsf.gov. Purpose of Meeting: The Advisory Committee for the Directorate for Biological Sciences (BIO) provides advice and recommendations concerning major program emphases, directions, and goals for the researchrelated activities of the divisions that make up BIO. Summary of Minutes: Minutes will be available on the BIO Advisory Committee website at https:// www.nsf.gov/bio/advisory.jsp or can be obtained from the contact person listed above. Agenda: Agenda items will include: a Directorate business update; report out of Committee of Visitors Report for BIO/ Division of Environmental Biology and AC vote to accept the report; overview of the report, ‘Bold Goals for U.S. Biotechnology and Biomanufacturing; Harnessing Research and Development to Further Societal Goals’; AC Discussion of Opportunities and Bottlenecks for Advancing the Bioeconomy; overview of NSF and BIO’s Research Infrastructure to Support the Bioeconomy followed by AC discussion of research infrastructure needs; overview of the report ‘Building the Bioworkforce of the Future: Expanding Equitable Pathways into Biotechnology and Biomanufacturing Jobs’; AC Discussion of Opportunities, Gaps, and Bottlenecks for Building the Bioeconomy-relevant Workforce of the Future; discussion with the NSF Director and Chief Operating Officer; and other directorate matters. Dated: August 10, 2023. Crystal Robinson, Committee Management Officer. [FR Doc. 2023–17509 Filed 8–14–23; 8:45 am] BILLING CODE 7555–01–P SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 34984; File No. 813–00408] Apollo Global Management, Inc. August 10, 2023. Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’). ACTION: Notice. AGENCY: PO 00000 Frm 00048 Fmt 4703 Sfmt 4703 Notice of application for an order (‘‘Order’’) under sections 6(b) and 6(e) of the Investment Company Act of 1940 (the ‘‘Act’’) granting an exemption from all provisions of the Act, except sections 9, 17, 30, and 36 through 53, and the rules and regulations under the Act (the ‘‘Rules and Regulations’’). With respect to sections 17(a), (d), (e), (f), (g), and (j) of the Act, sections 30(a), (b), (e), and (h) of the Act and the Rules and Regulations and rule 38a 1 under the Act, applicants request a limited exemption as set forth in the application. SUMMARY OF APPLICATION: Applicants request an order to exempt certain limited partnerships, limited liability companies, corporations, business or statutory trusts or other entities (‘‘Partnership’’) formed for the benefit of eligible employees of Apollo Global Management, Inc. and its affiliates from certain provisions of the Act. Each Partnership, and each series thereof (to the extent such series is an issuer for purposes of the Act), will be an ‘‘employees’ securities company’’ within the meaning of section 2(a)(13) of the Act. APPLICANT: Apollo Global Management, Inc. FILING DATES: The application was filed on May 16, 2022 and amended on November 2, 2022, April 13, 2023, July 19, 2023, and July 28, 2023. HEARING OR NOTIFICATION OF HEARING: An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the Applicants with a copy of the request by email, if an email address is listed for the relevant Applicant below, or personally or by mail, if a physical address is listed for the relevant Applicant below. Hearing requests should be received by the Commission by 5:30 p.m. on September 5, 2023, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by emailing the Commission’s Secretary at Secretarys-Office@sec.gov. ADDRESSES: The Commission: Secretarys-Office@sec.gov. Applicant: Dennis Pereira, dpereira@ akingump.com. E:\FR\FM\15AUN1.SGM 15AUN1 Federal Register / Vol. 88, No. 156 / Tuesday, August 15, 2023 / Notices FOR FURTHER INFORMATION CONTACT: Jessica D. Leonardo, Senior Counsel, or Marc Mehrespand, Branch Chief, at (202) 551–6825 (Division of Investment Management, Chief Counsel’s Office). SUPPLEMENTARY INFORMATION: For Applicants’ representations, legal analysis, and conditions, please refer to Applicants’ fourth amended and restated application, dated July 28, 2023, which may be obtained via the Commission’s website by searching for the file number at the top of this document, or for an Applicant using the Company name search field, on the SEC’s EDGAR system. The SEC’s EDGAR system may be searched at, https://www.sec.gov/edgar/ searchedgar/legacy/ companysearch.html. You may also call the SEC’s Public Reference Room at (202) 551–8090. For the Commission, by the Division of Investment Management, under delegated authority. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–17497 Filed 8–14–23; 8:45 am] BILLING CODE 8011–01–P [Release No. 34–98095; File No. SR–SCCP– 2023–01] Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Stockholders’ Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto ddrumheller on DSK120RN23PROD with NOTICES1 August 9, 2023. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on July 28, 2023, Stock Clearing Corporation of Philadelphia (‘‘SCCP’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by SCCP. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Clearing Agency’s Statement of the Terms of the Proposed Rule Change SCCP is filing a proposed rule change regarding a stockholders’ agreement by 2 17 U.S.C. 78s(b)(1). CFR 240.19b–4. VerDate Sep<11>2014 18:39 Aug 14, 2023 Jkt 259001 II. Clearing Agency’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, SCCP included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. SCCP has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Clearing Agency’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change SECURITIES AND EXCHANGE COMMISSION 1 15 and among the Exchange’s parent corporation, Nasdaq, Inc. (‘‘Nasdaq’’), Adenza Parent, LP, a Delaware limited partnership (‘‘Seller’’), and the other parties thereto (‘‘Stockholders’ Agreement’’). The Stockholders’ Agreement will be implemented upon closing under the Merger Agreement (as defined below). The text of the proposed rule change is available on the SCCP’s website at https://listingcenter.nasdaq.com/ rulebook/sccp/rules, at the principal office of SCCP, and at the Commission’s Public Reference Room. 1. Purpose On June 10, 2023, Nasdaq entered into an Agreement and Plan of Merger (the ‘‘Merger Agreement’’) by and among Nasdaq, Argus Merger Sub 1, Inc., a Delaware corporation and a direct wholly owned subsidiary of Nasdaq, Argus Merger Sub 2, LLC, a Delaware limited liability company and a direct wholly owned subsidiary of Nasdaq, Adenza Holdings, Inc., a Delaware corporation (‘‘Adenza’’), and Seller. Pursuant to the Merger Agreement, and upon the terms and subject to the conditions therein, Nasdaq will acquire 100% of the stock of Adenza (the ‘‘Transaction’’). As a result of the Transaction, Seller is expected to hold, at closing, approximately 15% of the outstanding Nasdaq common stock based upon the outstanding shares of Nasdaq common stock as of June 9, 2023.3 The shares to be held by Seller will be subject to Article Fourth of Nasdaq’s Amended and Restated Certificate of Incorporation, which provides that no person who beneficially owns shares of common 3A copy of the Merger Agreement and a description of its terms were filed by Nasdaq on Form 8–K on June 12, 2023 and are available at: https://www.sec.gov/ix?doc=/Archives/edgar/data/ 0001120193/000119312523164839/ d476077d8k.htm. PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 55485 stock or preferred stock of Nasdaq in excess of 5% of the then-outstanding securities generally entitled to vote may vote the shares in excess of 5%. This limitation mitigates the potential for any Nasdaq shareholder to exercise undue control over the operations of Nasdaq’s self-regulatory subsidiaries (including SCCP), and facilitates the self-regulatory subsidiaries’ and the Commission’s ability to carry out their regulatory obligations under the Act. Adenza and Seller are affiliates of certain funds managed by Thoma Bravo, L.P., a Delaware limited partnership (‘‘Thoma Bravo’’).4 The Merger Agreement contemplates that, at the closing, Nasdaq, Seller and Thoma Bravo will enter into the Stockholders’ Agreement. The Stockholders’ Agreement provides that, among other things, Thoma Bravo will be entitled to propose one individual reasonably acceptable to Nasdaq’s Nominating & Governance Committee for nomination as director for election to the Nasdaq Board (‘‘Board Designee’’), and such right will exist for so long as Thoma Bravo, together with its controlled affiliates (including Seller), continue to beneficially own at least 10% of the shares of Nasdaq common stock outstanding as of the closing date. Nasdaq will: (i) include the Board Designee as a nominee to the Nasdaq Board on each slate of nominees for election to the Nasdaq Board proposed by management of Nasdaq, (ii) recommend the election of the Board Designee to the stockholders of Nasdaq and (iii) without limiting the foregoing, otherwise use its reasonable best efforts (which shall include the solicitation of proxies) to cause the Board Designee to be elected to the Nasdaq Board. The Stockholders’ Agreement relates solely to the Nasdaq Board, and not to the boards of any of its subsidiaries, including the SCCP Board. Nevertheless, the provisions of the Stockholders’ Agreement described above could be considered a proposed rule change of a subsidiary that is a selfregulatory organization (‘‘SRO’’), if the provisions were viewed as potentially impacting the governance of an SRO in its capacity as wholly-owned subsidiary of Nasdaq. Accordingly, the governing boards of directors of SCCP and its affiliated SROs have each reviewed the proposed change and determined that it should be filed with the Commission.5 4 Seller owns all of the issued and outstanding capital stock of Adenza. Both Seller and Adenza are owned by Thoma Bravo. 5 SCCP, Nasdaq BX, Inc. (‘‘BX’’), Nasdaq GEMX, LLC (‘‘GEMX’’), Nasdaq ISE, LLC (‘‘ISE’’), Nasdaq MRX, LLC (‘‘MRX’’), The Nasdaq Stock Market LLC E:\FR\FM\15AUN1.SGM Continued 15AUN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 88, Number 156 (Tuesday, August 15, 2023)]
[Notices]
[Pages 55484-55485]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-17497]


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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34984; File No. 813-00408]


Apollo Global Management, Inc.

August 10, 2023.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').

ACTION: Notice.

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    Notice of application for an order (``Order'') under sections 6(b) 
and 6(e) of the Investment Company Act of 1940 (the ``Act'') granting 
an exemption from all provisions of the Act, except sections 9, 17, 30, 
and 36 through 53, and the rules and regulations under the Act (the 
``Rules and Regulations''). With respect to sections 17(a), (d), (e), 
(f), (g), and (j) of the Act, sections 30(a), (b), (e), and (h) of the 
Act and the Rules and Regulations and rule 38a 1 under the Act, 
applicants request a limited exemption as set forth in the application.

Summary of Application:  Applicants request an order to exempt certain 
limited partnerships, limited liability companies, corporations, 
business or statutory trusts or other entities (``Partnership'') formed 
for the benefit of eligible employees of Apollo Global Management, Inc. 
and its affiliates from certain provisions of the Act. Each 
Partnership, and each series thereof (to the extent such series is an 
issuer for purposes of the Act), will be an ``employees' securities 
company'' within the meaning of section 2(a)(13) of the Act.

Applicant:  Apollo Global Management, Inc.

Filing Dates:  The application was filed on May 16, 2022 and amended on 
November 2, 2022, April 13, 2023, July 19, 2023, and July 28, 2023.

Hearing or Notification of Hearing:  An order granting the requested 
relief will be issued unless the Commission orders a hearing. 
Interested persons may request a hearing on any application by emailing 
the SEC's Secretary at [email protected] and serving the 
Applicants with a copy of the request by email, if an email address is 
listed for the relevant Applicant below, or personally or by mail, if a 
physical address is listed for the relevant Applicant below. Hearing 
requests should be received by the Commission by 5:30 p.m. on September 
5, 2023, and should be accompanied by proof of service on applicants, 
in the form of an affidavit or, for lawyers, a certificate of service. 
Pursuant to rule 0-5 under the Act, hearing requests should state the 
nature of the writer's interest, any facts bearing upon the 
desirability of a hearing on the matter, the reason for the request, 
and the issues contested. Persons who wish to be notified of a hearing 
may request notification by emailing the Commission's Secretary at 
[email protected].

ADDRESSES: The Commission: [email protected]. Applicant: Dennis 
Pereira, [email protected].

[[Page 55485]]


FOR FURTHER INFORMATION CONTACT: Jessica D. Leonardo, Senior Counsel, 
or Marc Mehrespand, Branch Chief, at (202) 551-6825 (Division of 
Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: For Applicants' representations, legal 
analysis, and conditions, please refer to Applicants' fourth amended 
and restated application, dated July 28, 2023, which may be obtained 
via the Commission's website by searching for the file number at the 
top of this document, or for an Applicant using the Company name search 
field, on the SEC's EDGAR system.
    The SEC's EDGAR system may be searched at, https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You may also call the 
SEC's Public Reference Room at (202) 551-8090.

    For the Commission, by the Division of Investment Management, 
under delegated authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-17497 Filed 8-14-23; 8:45 am]
BILLING CODE 8011-01-P

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