Form 4 for CG Carlyle Group Inc.

Accepted 2023-02-17 00:00:00 ET · period of report 2023-02-15 · accession 0000899243-23-005497 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
M	2023-02-17	2023-02-15	CG	SCHWARTZ HARVEY M	CEO, Dir	A - Grant	$0.00	+6.76M	2.03M	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-02-15	A	A	4,730,617	$0.00	6,762,219	D	—	—	(F2) These securities are a restricted stock unit award that is eligible to vest in five equal tranches, with each tranche subject to a performance-based vesting condition that requires achievement of an absolute stock price hurdle ($42.74, $51.29, $58.12, $64.96, and $71.80, respectively) and the $64.96 and $71.80 tranches are also subject to performance-based vesting conditions relating to total shareholder return (linked to the 60th percentile of the constituent companies in the S&P 500 Financials Index). In addition, each tranche is subject to time-based vesting conditions generally requiring minimum service periods of one year, two years, three years, four years, and five years, respectively. The period for measuring the achievement of the stock price hurdles ends on January 31, 2028 and any restricted stock units that have not vested as of February 1, 2028 will be forfeited.
2	Common	Common Stock	2023-02-15	A	A	2,031,602	$0.00	2,031,602	D	—	—	(F1) These securities are a restricted stock unit award and will be eligible to vest as to 25% of such award on February 1 of each of 2024, 2025, 2026, and 2027, in each case, with settlement to occur in December of the prior year, subject to clawback if the service requirement is not met.